Description
The Director, Compliance Advisory performs a key risk management role to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations.
The Director, Compliance Advisory supports the line of business by:
- Providing input on business regulatory requirements
- Providing guidance on business policies, standards, and procedures
- Developing and leading department training
- Providing compliance advice on complex projects
- Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
- Reviewing business controls and providing guidance on identified risks
Responsibilities:
- Review complaints generated from lines of business and provide guidance on remediation
- Identify trends in data and proactively advise on identified external and internal risks
- Maintain subject matter expertise of applicable laws and regulations
- Perform and review control assessments executed by peers for accuracy and adherence to test procedures
- Evaluate Internal Audit, Regulatory Exam and self-identified issues and events for compliance impacts
- Provide effective challenge and guidance on compliance risks
- Advise lines of business on application of compliance requirements
- Assist lines of business in the development and maintenance of the compliance program
- Support lines of business through expert advice
- Conduct targeted validations and reviews on controls for applicable regulations
- Perform UDAAP validations and reviews
- Active involvement with compliance testing and third-party compliance
- Assist in capturing, maintaining, and analyzing compliance data
- Participate in reporting activities used by senior leadership
This role is designated as a hybrid position.
Basic Qualifications:
- Bachelor’s Degree or military experience
- At least 8 years of risk management, compliance, audit or legal experience
- At least 3 years of consumer financial services experience
Preferred Qualifications:
- Certified Regulatory Compliance Manager (CRCM) accreditation or Juris Doctor degree
- Auto finance risk, auto finance compliance or auto finance originations experience