Compliance Advisor Lead

Industry: Finance & Insurance

  •  

8 - 10 years

Posted 41 days ago

Leads and motivates cross-functional team members in strategy development and implementation of compliance solutions. Independently performs complex and often unique work assignments and problem resolution within a CoSA and enterprise projects. Serves as the subject matter expert to ensure documents, projects, processes, and product initiatives comply with regulatory and legal requirements and enterprise policy."

Job Requirements

ABOUT USAA

USAA knows what it means to serve. We facilitate the financial security of millions of U.S. military members and their families. This singular mission requires a dedication to innovative thinking at every level.

In each of the past five years, we've been a top-40 Fortune 100 Best Companies to Work For®, and we've ranked among Victory Media's Top 10 Military Friendly® Employers for 13 years straight. We embrace a robust veteran workforce and encourage veterans and veteran spouses to apply.

ABOUT USAA ENTERPRISE COMPLIANCE PROGRAM

This position will support the Director in the design, implementation and ongoing maintenance of an Unfair, Deceptive, or Abusive Acts or Practices (UDAAP) Compliance Program for the enterprise to include Partnerships with External Companies. Oversees UDAAP risk in accordance with applicable laws and regulations, compliance risk management practices and the expectations of the regulators.

See what it's like to work for a company where your passion meets our purpose:

USAA Careers

PRIMARY RESPONSIBILITIES

  • Reviews laws and regulations for business impact and completes risk assessments.
  • Leads and motivates cross functional team members in strategy development and implementation of compliance solutions.
  • Utilizes advanced leadership and collaborative skills in interacting with compliance stakeholders or regulatory agencies.
  • Fosters cooperation across team and organizational units.
  • Builds consensus and morale through understanding of underlying team dynamics and by promoting development of team relationships.
  • Anticipates and identifies future needs, opportunities and potential solutions, and leads crossfunctional teams through the problem resolution process.
  • Directs analyses and root cause identification; develops and recommends compliance solutions impacting the enterprise.
  • Establishes aggressive goals for the organization and monitors to ensure achievement.
  • Provides compliance input on business action plans, projects or operational requests.
  • Advises senior management on issues and has authority to make project related decisions.
  • Develops, designs and delivers compliance strategies to senior leadership; negotiates solutions with leadership.
  • Develops and delivers all types of messages effectively.
  • Ensures proper implementation of business requirements and identifies outstanding compliance issues.
  • Develops action plans for advancing compliance initiatives and for resolving outstanding compliance issues.
  • Anticipates how the organization must adapt to changes in the industry to sustain competitive advantage.
  • Applies expert knowledge of the business, its products and processes.
  • Maintains expert knowledge of the competitive/regulatory landscape and the company's key challenges.
  • Serves as the primary resource for crossfunctional team members on escalated issues of a unique nature.
  • Serves as the technical expert, providing direction to others on complex issues, and mentoring team members.
  • Demonstrates awareness of personal leadership style and works to achieve quality results by motivating and inspiring highly skilled team of compliance professionals.
  • Builds processes and relationships that facilitate productive teamwork.
  • Coordinates and responds to regulatory requirements and requests, and ensures the execution of conduct examinations.
  • Accountable for achieving business objectives and results; provides guidance to crossfunctional team members to ensure goal achievement and team success.

MINIMUM REQUIREMENTS

  • Bachelor's degree required OR 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
  • 8 or more years of industry experience.
  • 3 years of leadership experience.
  • Expert knowledge of relevant regulatory data sources.
  • Expert knowledge of data analysis tools and techniques.
  • Expert knowledge of relevant industry regulations and of regulatory compliance.
  • Subject-matter-expert 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.

PREFERRED REQUIREMENTS

  • 5 + years experience leading the design, implementation and ongoing maintenance of a UDAAP or UDAP risk management program.
  • 5+ years regulatory risk management experience that includes the implementation of complex initiatives and development of policies, procedures and training.
  • Proven experience building relationships and collaborating with business partners leveraging complaints intelligence, industry guidance, and regulatory actions to identify unfair, deceptive or abusive practice issues and emerging risks.
  • Experience interacting with auditors and regulators
  • CRCM Certification, ACP Designation (Life and Annuity or Property & Casualty concentrations)