$80K — $100K *
The Senior Compliance Manager is responsible for ensuring compliance with assigned federal, state, and local government laws and regulations as well as providing support to the Compliance Department.
● Manage compliance quality assurance for regulatory changes and new financial products and services by working closely with the Vice President of Compliance and Regulatory Counsel and applicable business units.
● Participate in the state regulatory examination process, analyze regulatory examination findings to determine the root cause of errors and recommend and oversee corrective and preventive courses of action.
● Assist in the development of controls to implement compliance related changes, remediate past compliance violations, and avoid potential compliance violations in the future as part of a team with the Information Systems (“IS”), Operations, Marketing, Product, and Legal Departments.
● Manage assigned portion of the overall Compliance Management System, including reviewing audits, monitoring trends and implementing risk-based review systems.
● Review company product documents, communications, training, and advertising materials for regulatory compliance issues.
● Enhance both District Manager and Internal Audit programs based upon issues that arise out of examinations, regulatory complaints, regulatory changes, new products, or other audit findings.
● Assist in development and delivery of training to remediate compliance issues identified and to avoid future compliance violations.
● Advise leadership on compliance trends and opportunities.
● Maintain and update risk assessments, policies, and procedures.
● Perform other related duties as requested.
• Communication Proficiency
• Customer Service
• A law degree is required.
• Candidate should have 1-3 years of experience with regulatory compliance.
• Licensed attorney and/or CRCM certification is a plus.
• Must be proficient at Microsoft Word, Excel, and PowerPoint.
• SharePoint proficiency is a plus.
• Must be able to manage shifting priorities with hard deadlines and multiple tasks with limited supervision.
• Requires excellent communication skills, ability to interact with multiple departments and a strong attention to
Valid through: 10/27/2021