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Compliance Risk Manager Senior

Location Phoenix, Arizona | Plano, Texas | San Antonio, Texas Secondary Locations Phoenix,Arizona;Plano,Texas;San Antonio,Texas;San Antonio,Texas; Job ID R0037914 Date posted Oct. 11, 2019 Apply Now

Purpose of Job

Provides second-line independent oversight and guidance regarding business products, services, and processes through a compliance framework to ensure they are executed in accordance with regulatory requirements. In partnership with the business and key stakeholders, continuously drives a strong culture of compliance and demonstrates integrity and professional judgment in protecting the interests of USAA and its members.

We are currently seeking a talented Compliance Risk Manager Senior for one of the following locations: San Antonio Home Office I, San Antonio Home Office II/III, Plano or Phoenix.

Job Requirements

  • Provides guidance to the business to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy.
  • Synthesizes analyses, identifies root cause(s) of potential compliance risk, provides recommendations that influence business solutions and validates resolution.
  • Responsible for project management by leading and influencing cross functional enterprise or compliance teams.
  • Reviews implementation planning for new laws and regulations and ensures appropriate parties have been engaged.
  • Conveys information and position clearly, concisely, logically and in an organized manner.
  • Executes compliance risk management activities in accordance with enterprise compliance standards.
  • Serves as a resource to team members on escalated issues.
  • Minimum

  • Bachelor's degree required or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
  • 6 or more years relevant work experience in compliance, risk, or audit function.
  • Demonstrated experience working in a highly regulated environment.
  • Advanced knowledge in a specific area of compliance laws, regulations and regulatory expectations.
  • Demonstrated ability to apply advanced knowledge of regulatory compliance to consult and provide insight and guidance.
  • Advanced knowledge of Microsoft Office tools to include Word, Excel and PowerPoint.

*Qualifications may warrant placement in a different job level*

When you apply for this position, you will be required to answer some initial questions.  This will take approximately 5 minutes.  Once you begin the questions you will not be able to finish them at a later time and you will not able to change your responses.


  • Provide oversight of Marketing functions including the execution of marketing and advertising communications across all channels including website, direct mail, emails, social media, phone, television and radio ensuring all advertising content complies with state and federal laws, rules and regulations, and internal standards.
  • Advanced knowledge and experience with advertising regulations and laws with respect to large financial service institutions including but not limited banking Products and Services (Federal Reserve, CFPB, OCC) and /or Insurance Products and Services (Department of Insurance) and/or Investments Products and Services (FINRA, SEC).
  • Experience in developing and overseeing processes and controls related to marketing review, marketing disclosure maintenance, marketing fulfillment, and marketing audience selection/maintenance.
  • Experience in developing and executing Compliance Program Oversight including Compliance Risk Assessment, Issue Management, Complaint Management, Monitoring, and Regulatory Change Management.
  • Excellent process experience including agile and SAFe methodologies.
  • Ability and willingness to assess risk and make independent professional decisions within the realm of responsibility yet can operate on a cross functional team.
  • Strong ability to multi-task in a fast-paced environment.
  • Well-developed analytical abilities, organizational skills, and attention to detail.
  • Ability to work well under pressure, in both independent and team environments.

The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.

At USAA our employees enjoy one of the best benefits packages in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs.  Additionally, our career path planning and continuing education will assist you with your professional goals.

Relocation assistance is available for this position.

For Internal Candidates:

Must complete 12 months in current position (from date of hire or date of placement) or must have manager’s approval prior to posting.

Last day for internal candidates to apply to the opening is 11/06/19 by 11:59 pm CST time.

Apply Now

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