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Executive, Compliance

Location Secondary Locations REMOTE,ZZ; Job ID R0031712 Date posted Apr. 17, 2019 Apply Now

Purpose of Job

Manages the ongoing preparation, testing and monitoring of compliance with government regulations and regulatory agencies for the organization. Directs and performs evaluation of internal operations, controls, communications, risk assessments and maintenance of documentation as related to regulatory compliance and recommends appropriate changes. Reviews and evaluates results of internal and external audits and advises organization on appropriate actions to be taken. Directs and manages organizational relationships and interactions with regulatory agencies. Selects, develops and evaluates personnel to ensure the efficient operation of the function.

Job Requirements

The Bank Compliance executive will be accountable for Compliance oversight of the Bank’s OMNI Channel organization which includes critical oversight functions such as Call Center, Online Banking, and Digital channels.   This role will require thought leadership and experience managing, overseeing and implementing an effective Compliance Management “CMS” Program within a line of business.  This role will help advance the Bank’s CMS Program to be commensurate with Regulatory Expectations, including the development of policies, programs, assessments and monitoring to enable effective oversight of the areas noted above.  The ideal candidate will have experience within a large Financial Institution in the Second Line of Defense, experience with interacting and responding to regulatory agencies, along with a strong understanding and experience with the application of laws and regulatory requirements related to all areas applicable to the areas noted above.

Required Qualifications:

  • Bachelor's degree required
  • 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree
  • 10 or more years of progressive related experience developing strategies, managing major initiatives and delivering results within a complex matrix environment required
  • 4 or more years of people leadership experience in building, managing and/or developing high-performing teams required
  • Experience collaborating with key resources and stakeholders, influencing decisions and managing work to achieve strategic goals required
  • Executive-level business acumen in the areas of business operations, industry practices and emerging trends required

Preferred Qualifications:

  • Experience and strong understanding of Call Center, Digital, and Online functions.
  • Development and execution of Compliance programs, frameworks and Second Line oversight of related business practices.
  • Strong understanding of regulatory requirements, expectations and controls in the above listed functions (e.g. Regulation E, TCPA, Regulation Z, Regulation P)
  • Strong understanding of principles, requirements, risks and controls related to UDAAP and Sales Practices for a large Financial Institution. 
  • Ability to understand complex processes with multiple stakeholders and develop and influence best practices related to Compliance and Risk Management. 
  • Strong leadership skills with demonstrated ability to drive significant results.
  • Experience presenting to executive audiences and regulators on complex topics. 
  • Strong people leadership with transformational experience and ability to build an effective Compliance oversight framework.
  • Strong understanding and demonstrated ability in analyzing and educating others in changing regulations, laws, and best practices, as they apply to the business and industry

Apply Now

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