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Compliance Manager
3 months ago
First Electronic Bank is looking to add an experience Compliance Manager to our world-class compliance team. The Compliance Manger (“CM”) is responsible for supporting the bank’s Strategic Partnership (“SP”) relationships by working closely with our Strategic Partner Managers (“SPMs”) to oversee contractual and regulatory compliance requirements for our Partners. The CM will be responsible for advising on compliance matters and conducting compliance reviews for existing SPs. The CM is a strong contributor to the overall Compliance Management System and works closely with Bank Compliance Testing to coordinate and finalize the bank’s testing findings for the partner programs and ensure sufficient corrective action occurs prior to issue closure.
Duties and Responsibilities
- Serve as the primary Compliance Department contact for compliance- related information and activities related to regulatory and consumer protection due diligence of assigned SP programs and bank initiatives.
- Provide subject matter expertise and advise the assigned SP programs to ensure that existing and proposed Bank and SP program business practices, compliance policies and procedures, operational systems, marketing materials, customer correspondence, documents and disclosures comply with federal and state
- Conduct regulatory risk assessments to identify key compliance risk areas and mitigating controls in order to evaluate residual risks that apply to the bank and SPs.
- Work with SPMs to address testing and audit findings and review responses and corrective actions for assigned SPs.
- Identify compliance risks and advise, coordinate, design and assess compliance controls and related processes and procedures.
- Review and manage customer complaint handling process.
- Perform site visit reviews of SP (many of our partners are out of state, so this will require some travel).
- Prepare and present monthly reporting to the Chief Compliance Officer, and the Risk and Compliance Committee and Board of Directors, as necessary.
- Discuss/review SP testing documents and memos with the Compliance Testing Team and work to ensure proper corrective action prior to closure of testing findings.
- Continually develop Compliance knowledge and skills by attending compliance related conferences or trainings; and
- Complete additional projects and duties as directed.
Requirements:
Qualifications and Experience:
- Bachelor’s degree in accounting, finance, or business-related field preferred and three (3) plus years Compliance experience, or if no degree, 4-6 years Compliance experience within a Bank Compliance department.
- Strong working knowledge and experience with consumer protections regulations including UDAAP, ECOA/Fair Lending, TILA (including the Card Act) FCRA/FACTA, SCRA, MLA, FDCPA, and TCPA.
- Excellent communication (verbally and in writing) and strong presentation skills.
- Knowledge and experience in performing or overseeing internal control reviews, quality assessments, Compliance testing and/or Audits.
- Project management and organization skills
- Must be a self-starter with the ability to work independently in a fast-paced environment, with minimum supervision to manage conflicting priorities.
- Exhibits good relationship management, judgement, self-confidence, and interface effectively with other departments and executive management teams.
- Strong attention to detail.
- Strong analytical and critical thinking skills, and ability to make sound decisions.
Preferred qualifications
- CRCM preferred but not required.
- Experience in working with Fintech partnerships (strategic partner model).
- Experience in conducting fair lending reviews using the FFIEC Interagency Fair Lending Exam Manual.
- Experience working with federal and state regulators also preferred.
The ideal candidate for this position will reside in the Salt Lake City metro area, and will be eligible for a hybrid work schedule.
