This position can be located in Dallas, TX or Kennesaw, GA
What You'll Do Day to Day:TheCompliance Manager will help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. This role is responsible for designing and executing complex risk-based compliance transaction testing for the purpose of independently validating business line adherence to applicable laws and regulations.
ESSENTIAL JOB FUNCTIONS:- Design and execute compliance testing in accordance with the annual compliance testing schedule.
- Assist with the development of the risk-based annual compliance testing schedule.
- Evaluate processes for key compliance controls and develop strategies to ensure appropriate and effective control testing.
- Identify any weaknesses in controls and causes of compliance deficiencies; conduct extensive research to support regulatory exceptions and propose appropriate corrective action.
- Assist with regulatory examination and various audit requests, including requesting and preparing materials, arranging logistics, coordinating meetings, facilitating communication; and assisting in the development of responses.
- Follow documented test plans, testing protocols and job aids as needed to obtain and analyze test data from multiple sources.
- Assess the adequacy of remediation activities, monitor through completion, and escalate past-due items.
- Monitor and notify the Legal Department of applicable regulatory developments that may impact the business.
- Work closely with other departments by arranging ongoing contact and assisting with the resolution of any identified findings or concerns.
- Prepare high quality work papers and final testing reports.
- Systematically retain documents that substantiate test results.
- Assist with other compliance-related projects and tasks as requested.
MINIMUM QUALIFICATIONS: - Bachelor's degree in a related field of study
- 6+ years of compliance experience at a financial institution with at least 2 years compliance management experience
- Possess a general knowledge of the various regulatory consumer compliance laws and regulations, as well as audit and testing capability.
- Proficient in Microsoft Office software applications
- Excellent verbal and writing skills.
- Ability to manage multiple projects and deadlines simultaneously.
- Ability to interact with multiple lines of business to ensure that results are understood, and recommendations are implemented.
- High degree of integrity and strong work ethic
