Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
About the role
- Sr Manager of Employee Relations & Compliance at DLA Piper overseeing HR policy and employee relations issues. Collaborating with firm leadership to address compliance with employment laws in the US.
Responsibilities
- Manage the process of responding to and resolving employee issues and concerns
- Direct and lead conflict resolution between individuals
- Apply firm policies to see HR-related disputes through to resolution
- Investigate and document complaints and bring to full resolution
- Coach managers and lawyers in facilitating meaningful performance conversations
- Create and implement a reduction-in-force (RIF) or other downsizing strategy
- Analyze employee performance and create detailed performance improvement plans
- Manage the development, revision, planning, approval and execution of HR policies
Requirements
- Bachelor's Degree in Employee Relations, Human Resources or related field
- 10+ years’ experience as a compliance and employee relations professional
- Employee relations experience in a professional services firm preferred
- SHRM-CP, SHRM-SCP/PHR or SPHR certification preferred
- Intermediate to advanced skills with MS Office, HRIS (Workday time and absence knowledge preferred), ServiceNow
Benefits
- Health insurance
- 401(k)
Job title
Job type
Experience level
Salary
Degree requirement
Tech skills
Location requirements
Compliance Officer providing regulatory compliance support within the asset services business line. Managing compliance frameworks and guiding risk owners on regulatory obligations.
EMEA Regulatory Specialist providing regulatory support at Univar Solutions. Alongside a global team to handle customer inquiries and compliance in the chemical sector.
Regulatory Affairs Coordinator maintaining regulatory documents for research projects at Geneva. Overseeing IRB application processes and supporting research staff with documentation and compliance.
Trade Compliance, Customs and Sanctions Manager role providing compliance advisory on trade controls and customs at Vodafone. Key responsibilities include risk management and stakeholder collaboration on global trade activities.
Regulatory Associate at Reckitt ensuring compliance with global regulatory requirements for new product developments. Collaborating to create comprehensive product registration dossiers and navigate regulatory landscapes.
Lead compliance programs for IESO ensuring adherence to regulations while supporting business and stakeholder engagement in electricity sector.
Vice President of Regulatory Policy providing oversight for regulatory reporting issues related to banking regulations. Focused on Basel III, policy development, and regulatory stakeholder collaboration.
Senior Manager responsible for developing risk management systems and compliance processes at RBC. Collaborating with various teams to minimize investments risks in technology infrastructure.
Compliance Regulatory Change officer ensuring timely identification and communication of regulatory changes affecting RBC businesses. Supporting compliance across Canadian financial sectors with impactful oversight.