Compliance Testing Manager

4 weeks ago

Salt Lake City, United States First Electronic Bank Full time
Job DescriptionJob DescriptionDescription:

As Second Line of Defense, the Compliance Testing Manger has the responsibility to perform compliance testing to evaluate our Strategic Partner’s (SP) compliance with applicable laws and regulatory requirements. This individual will plan & scope each review based upon the risk for each SP, produce quality detailed work papers, prepare succinct reports, and assess the adequacy and effectiveness of corrective action plans.

Duties and responsibilities

  • Perform testing and monitoring of lending regulations to include, but not limited to: UDAAP, Fair Lending, TILA, FCRA/FACTA, SCRA, MLA, FDCPA and TCPA
  • Perform testing and monitoring of deposit regulations to include, but not limited to: TISA, EFTA, EFAA, FDIC Deposit Insurance, Debit Card Interchange Rule, and Garnishments.
  • Prepare written reports that clearly articulate the reason for the finding, the gap in controls, and the risk for each finding and related root cause.
  • Adequately and thoroughly communicate findings to assigned Strategic Partner(s), Strategic Partner Managers (SPMs), Compliance Officer Compliance Managers (COCMs) and Sr. Compliance Testing Manager, when appropriate.
  • Follow-up, obtain and validate corrective action plans to ensure issues are addressed appropriately.
  • Evaluate and analyze the external testing results of the testing conducted by the SP, identify gaps within the SP testing, and respond/address accordingly.
  • Assist with providing requested documentation, information or reports as directed for internal Audits or Regulatory Examinations.
  • Complete additional projects and duties as directed.
  • Act as a liaison between the Bank and assigned Strategic Partner(s) when addressing, inquiring about, or responding to testing related items.
  • Oversee and monitor the testing performed by Contracted Employees and/or Compliance Analysts
  • Provide guidance, coaching and support to Contracted Employees and/or Compliance Analysts


Requirements:

Qualifications

Minimum qualifications

  • Bachelor's degree, in accounting, business, finance or another related field preferred. (Experience may be substituted for degree).
  • 3-5+ years in Regulatory Compliance within a financial institution.
  • Ability to independently research and analyze consumer protection laws and regulations around deposits, credit card, installment loans and open-end credit.
  • Ability to understand operations and banking policies and procedures.
  • Ability to thoroughly convey ideas and thoughts succinctly in writing and verbally.
  • Team player and strong problem solver.
  • Ability to think critically, identify inefficiencies and make recommendations to gain efficiency.
  • Ability to analyze testing results to determine best course of action/make sound recommendations for correction of testing/monitoring findings
  • Ability to identify gaps in controls leaving the organization susceptible to compliance, reputation, or operational risk.
  • Strong working knowledge of all Microsoft products, including Word, Excel, Outlook and PowerPoint.

Preferred qualifications

  • Experience in working with Fintech partnerships.
  • Experience in in conducting regulatory reviews and/or regulatory compliance assessments.
  • Experience in assessing risk and identifying gaps in controls.
  • Regulatory Compliance Certification a plus.

First Electronic Bank is located in Salt Lake City, UT. This role will be considered hybrid, with a mix of weekly in-office and WFH opportunities.

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