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Finance & Legal - Legal & Compliance

Manager - Compliance

Manager

Independently audited

Keeps the company's commitments defensible and its risk understood. Owns a team, its output, its hiring, and its development.

Audited package

Built, independently audited role package. Everything on this page is written for this seat.

Your Stack (Swappable)

This role works against whatever tools you already run. We list the tool categories the role operates in, never a named vendor, so you are never asked to replace a system that works.

  • GRC & Compliance
  • Policy and records
  • Learning & Development (LMS)
  • Case and speak-up management
  • Observability & Monitoring
  • Team Chat & Collaboration

Deliverables

  • Contract review summaries
  • Redlines and fallback positions
  • Risk assessments
  • Obligation and compliance registers

Responsibilities

  • Maintain the compliance risk assessment, regulatory-obligation register, change-intake process, applicability decisions, owners, and review cadence for the assigned domain.
  • Translate obligations into policies, standards, controls, procedures, training, attestations, monitoring, evidence, issue paths, and record-retention requirements.
  • Set the annual compliance plan, priorities, coverage, capacity, budget, vendor needs, and measurable program outcomes.
  • Manage compliance analysts and specialists through clear outcomes, review standards, coaching, workload balance, performance evidence, and development plans.
  • Design and oversee monitoring and second-line testing, investigate anomalies within authority, and route privileged or consequential matters to Legal or the designated investigation owner.
  • Operate case and issue governance, root-cause analysis, remediation ownership, due dates, exception approval, retest, and escalation of overdue or repeated failures.
  • Deliver role-based training, attestations, communication, and culture interventions tied to actual risk rather than generic completion.
  • Support regulator, certification, customer, board, and executive requests with reconciled evidence and approved communication.

The essence of this seat

The Manager - Compliance is the second-line people manager responsible for a defined corporate or regulatory compliance program, including obligation mapping, risk assessment, policy and control framework, monitoring and testing, training and attestations, issue and case governance, remediation oversight, regulator support, reporting, and compliance-team development.

Signature move

Start with the applicable obligation, jurisdiction, business activity, owner, risk, evidence, effective date, and change history before calling something compliant

What good looks like

converts the citation into a dated, owner-assigned delivery program working back from the effective date, sequences long-lead items, and routes interpretation and risk-acceptance rather than deciding them

Decision rights

  • - the assigned compliance program, risk assessment, obligation register, policy and control framework, and annual plan
  • - monitoring, testing, training, attestations, case intake, issue governance, remediation oversight, and program reporting
  • - compliance-team goals, capacity, review quality, coaching, hiring input, and performance evidence within approved People process
  • - routine regulator, certification, or oversight support within delegated legal and executive authority

Working vocabulary

compliance risk assessmentobligation registerapplicabilityregulatory changepolicy lifecyclecontrol ownerfirst linesecond linethird linemonitoring

What this role does

The Manager - Compliance is the second-line people manager responsible for a defined corporate or regulatory compliance program, including obligation mapping, risk assessment, policy and control framework, monitoring and testing, training and attestations, issue and case governance, remediation oversight, regulator support, reporting, and compliance-team development. The role is accountable for this outcome: the company knows which obligations apply, translates them into owned controls and behavior, detects noncompliance early, remediates issues with evidence, and gives leadership and the board an honest view of residual compliance risk. At Manager altitude, it owns the assigned compliance program, risk assessment, obligation register, policy and control framework, and annual plan, monitoring, testing, training, attestations, case intake, issue governance, remediation oversight, and program reporting, compliance-team goals, capacity, review quality, coaching, hiring input, and performance evidence within approved People process, routine regulator, certification, or oversight support within delegated legal and executive authority; advises on business and control owners on compliant process design while they retain first-line operation and risk ownership, Legal and executive leadership on interpretation, response, disclosure, discipline, regulator strategy, and risk acceptance while they retain final decisions, Internal Audit on program facts and evidence while Audit retains independent scope and assurance conclusions; and escalates a suspected violation, misconduct, retaliation, obstruction, bribery, fraud, sanctions issue, privacy or safety event, or significant regulatory breach, a matter requiring legal interpretation, privilege, external reporting, regulator notification, discipline, executive risk acceptance, or board oversight, a control failure or overdue remediation that could create material, systemic, or repeated noncompliance. The source material identifies Compliance Manager as the functionally equivalent label. This package preserves the separate roster identity required by the owner and does not fabricate a difference in legal or operational authority. This is a program-owning people-manager seat, not a policy librarian and not an independent auditor. The manager builds a living system that identifies applicable obligations, translates them into behavior and controls, detects failures, protects reporters and evidence, drives accountable remediation, and escalates matters that require Legal, executive, regulator, or board authority.

Best-fit customer

teams reviewing commercial agreements without enough counsel to go around

Need more than one role?

Buying the whole team or the complete department lowers your effective cost per role at every tier of the ladder.