Associate of Regulatory Compliance
Assisting the Director of Regulatory Compliance in implementing our Compliance Management System and Compliance Risk Management Framework.
Managing the company’s state licensing process, including applications and regular, ongoing reporting obligations and filings.
Managing the company’s audit and examination process, including due diligence requests from third-party auditors and state regulatory examiners.
Collecting requested data, communicating with regulators, and managing examinations from beginning to end.
Demonstrate functional or proficient working knowledge of the prudential, financial crimes, and consumer lending regulations including but not limited to the Bank Secrecy Act; USA Patriot Act; Equal Credit Opportunity Act; Truth In Lending Act; Fair Lending; Unfair, Deceptive, or Abusive Acts or Practices Act; Servicemembers Civil Relief Act and their implementing Regulations as well as other relevant regulatory requirements.
Work in collaboration with Business Compliance Officers and other stakeholders in various phases of examinations and audits, including notification, fieldwork, escalation, reporting and follow-up.
Demonstrate ability to exercise judgment in assessing the material significance and relevance of identified findings and recommendations and ensure timely escalation.
Develop reports, which are concise, timely and provide value to business and management to continuously improve compliance controls and mitigate risks.
Identify, track and communicate supervisory findings and make issue remediation recommendation, and work with responsible owners to address the items on a timely basis; ensure appropriate issue reporting and escalation.
Other duties as assigned.