Job Title:SrMgr - Compliance Advisory Services
Status:Exempt
Reports to: Director - Compliance Advisory Services
Department: Corporate Compliance
Job Code: 11822
Pay Range: $146,900.00 - $180,000.00 Annually
Location: Hybrid in Sacramento, CA
WHAT YOU'LL DO:- Strategic Leadership & Advisory Services * Set annual compliance priorities for each domain, aligned with enterprise risk assessments, regulatory focus areas, and strategic initiatives approved by the Director, Compliance Advisory Services. * Integrate HR, Privacy, and Records Management compliance considerations into enterprise initiatives, including new products, services, delivery channels, technologies, and material operational changes, where applicable. * Develop and maintain comprehensive compliance frameworks for each domain, ensuring policies, procedures, and internal controls reflect current regulatory requirements and industry best practices. * Prepare and present compliance reporting and insights to the Director and, as assigned, to executive and governance-level forums.
- HR Compliance * Provide second-line oversight of Golden 1's compliance with applicable federal and state employment laws and regulations. * Monitor regulatory developments affecting employment law and translate changes into actionable compliance guidance for HR and business leaders. * Partner with Human Resources to review and strengthen HR compliance practices, including hiring, onboarding, performance management, leave administration, wage and hour compliance, and separation processes. * Conduct or coordinate HR compliance risk assessments to identify gaps, evaluate control effectiveness, and prioritize remediation activities. * Provide compliance review and credible challenge on HR policies, procedures, and programs to ensure alignment with legal requirements and Golden 1's risk appetite. * Support HR compliance training initiatives to promote enterprise-wide awareness and adherence to employment law requirements.
- Privacy Compliance * Lead Golden 1's Privacy compliance program, providing second-line oversight of compliance with applicable federal and state privacy laws and regulations. * Maintain and continuously improve Golden 1's Privacy compliance framework, including member and employee privacy notices, data subject rights processes, privacy impact assessments, and vendor data-sharing agreements. * Partner with Technology, Digital, Legal, and first-line business teams to embed privacy-by-design principles into new products, services, and technology initiatives. * Monitor federal and state privacy regulatory developments - including CFPB rulemaking, NCUA guidance, and state legislative activity - and translate requirements into practical compliance actions. * Oversee Privacy incident response procedures in partnership with Information Security and Legal, ensuring timely identification, assessment, escalation, and required regulatory notification of privacy incidents or breaches. * Coordinate Privacy examinations and audit activities, and oversee management responses to Privacy-related findings and regulatory inquiries. * Facilitate member and employee privacy-related requests and inquiries in accordance with applicable law and Golden 1 policy.
- Records Management * Lead Golden 1's Records Management compliance program, providing second-line oversight to ensure records retention, storage, retrieval, and destruction practices comply with applicable regulations, NCUA requirements, and Golden 1's Records Retention Policy. * Maintain and update the enterprise Records Retention Schedule, ensuring it reflects current regulatory retention requirements across business lines and functional areas. * Partner with Technology, Operations, and business units to promote consistent application of records management practices, including digital and physical records governance. * Provide guidance and credible challenge on records management practices, including the identification of records, classification, retention periods, and compliant disposal. * Support litigation hold processes in coordination with Legal, ensuring records are preserved appropriately and hold procedures are followed across the organization. * Develop and deliver records management training to promote awareness of retention obligations and proper records-handling practices across the enterprise. * Monitor regulatory and legal developments affecting records retention requirements and update the Records Retention Schedule and related policies accordingly.
- Risk Management & Regulatory Oversight * Provide second-line compliance risk management leadership for HR, Privacy, and Records Management domains, including risk assessment, policy governance, issue management, regulatory change management, and related reporting. * Assess the effectiveness and maturity of compliance controls within each domain; identify systemic gaps, trends, or emerging risks; and escalate material concerns to the Director, Compliance Advisory Services. * Partner with first-line teams and other second-line functions - including Enterprise Risk Management and Information Security - to strengthen compliance risk ownership and ensure effective CMS execution. * Oversee regulatory responses and management action plans related to HR, Privacy, and Records Management findings; challenge remediation strategies to ensure root cause resolution and durable risk reduction. * Serve as a compliance subject matter expert and point of contact during regulatory examinations, internal audits, and supervisory activities related to assigned domains.
- Team Leadership & Development * Lead, mentor, and develop a team of compliance professionals specializing in HR Compliance, Privacy, and Records Management, fostering a culture of accountability, collaboration, and continuous learning. * Manage performance, staffing, and resource planning within the team, ensuring capacity to effectively execute compliance program responsibilities. * Provide coaching and guidance on complex compliance matters, escalating to the Director as appropriate. * Promote professional development and support team members in obtaining and maintaining relevant compliance certifications and skills. * Support succession planning and talent development within the Compliance Advisory function.
- Collaboration & Enterprise Engagement * Collaborate with HR, Legal, Technology, Operations, Information Security, Enterprise Risk Management, and other business units to align compliance strategies with enterprise objectives across each domain. * Serve as a key escalation point for compliance matters related to HR practices, privacy, and records management, including policy exceptions, risk acceptances, and significant initiatives. * Provide documented compliance opinions on significant initiatives and escalate matters where risk exceeds approved thresholds to the Director, Compliance Advisory Services. * Represent Compliance on cross-functional working groups and committees related to HR, Privacy, and Records Management. Policy, Procedure, and Training * Lead the creation, review, and revision of compliance policies, procedures, and internal controls for HR Compliance, Privacy, and Records Management domains, ensuring alignment with current regulations and industry best practices. * Develop and coordinate compliance training content for each domain to promote enterprise-wide awareness and adherence to applicable requirements.
- Operational Excellence, Metrics and Insight * Define and monitor compliance key risk indicators (KRIs), trends, and root cause analysis for each domain to proactively identify emerging risk and support informed decision-making. * Drive efficiency and consistency in compliance program delivery through process optimization and technology enablement. * Deliver actionable insights and reporting to the Director and, as assigned, to executive and governance forums on HR, Privacy, and Records Management compliance performance.
QUALIFICIATIONS AND PREFERENCES:- Bachelor's Degree or equivalent work experience required
- Advanced degree in Law, Business, Human Resources, or a related field preferred
- 10+ years of experience in compliance, legal, internal audit, or a related field, with demonstrated expertise in one or more of the following: HR/employment law compliance, privacy compliance, or records management within financial services required
- 5+ years of supervisory experience with an emphasis on financial services or compliance program management required
- Demonstrated experience managing compliance programs and conducting compliance risk assessments within a regulated financial institution required
Please view the full job description detailing the complete list of duties and expectations for this role by clicking or copying this URL into your browser: https://golden1.jdxpert.com/ShowJob.aspx?EntityID=2&id=2418
