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Compliance Operations Controller

4 months ago

Irvine, United States Xe Full time
Job DescriptionJob Description

At Xe, we live currencies. We provide a comprehensive range of currency services and products, including our Currency Converter, Market Analysis, Currency Data API and quick, easy, secure Money Transfers for individuals and businesses. We leverage technology to deliver these services through our website, mobile app and by phone. Last year, we helped over 300 million people access information about the currencies that matter to them and over 225,000 people used us to send money overseas.

We are proud to be part of Euronet Worldwide (Nasdaq: EEFT), a global leader in processing secure electronic financial transactions. Under their Money Transfer division, Xe and Ria Money Transfer have been brought together to help establish the third largest money transfer business in the world.

Reporting into the Deputy Head of Global Compliance (HOC), the Compliance Operations Controller within Regulatory Compliance is responsible for ensuring that key systems, applications, processes and procedures are adequately designed and operating effectively to ensure that the firm remains in compliance with all regulatory obligations. In addition, you will be responsible for ensuring that Xe’s products and services offered are in compliance with local regulatory obligations and the operations are consistent with regulatory requirements and conditions.

Our principles

  • AMBITION - We dream big, try things out and always ask “why not?” and “what if?” We’re ambitious in our thinking and our delivery
  • RESPONSIBILITY - We get involved, bring our perspective and are always open to new ideas. We take personal responsibility
  • COMMUNITY - We value a sense of belonging, trusting each other and encouraging authenticity. We contribute to our community

What you’ll do;

In coordination with the compliance officers in all jurisdictions, key responsibilities will include;

  • Monitoring Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs) to ensure the department is aligned with the business and regulatory performance expectations
  • When necessary, augment and adjust KPI’s and KRI’s when the business needs and risk appetite dictates.
  • Monitor vendors and vendor-managed applications to ensure the vendor is in line with established Service Level Agreements. Escalate and manage when issues arise that could impact key program requirements.
  • Work closely with Business Process Improvement team to identify areas of enhancement and improvement for the department.
  • Track and Coordinate Issues that arise from regulatory exams, internal audits, and independent reviews, and ensure the department stays on track to meet remediation timeframes as defined by management responses to the recommendations from the relevant third-party stakeholders.
  • Key Point of Contact and administrator for department channels of communication, including change notice events and critical notifications.
  • Assist Heads of Compliance with their regulatory examinations, including as a key point of contact for audit support.
  • Manage and maintain the directory of policies and procedures. Ensure that polices and procedures are reviewed on a regular basis and updated to reflect current business practices, risk appetite, and regulatory requirements.
  • Monitor and stay abreast of key regulatory changes and laws/regulations. When necessary, work with the training team to develop and deliver training to ensure business is aware of their responsibilities related to changes.
  • Coordinating efforts to ensure monitoring and oversight of key program pillars are executed on according to required cadence;
  • Partner with business stakeholders to maintain up to date knowledge and expertise on core business activities and assists in the analysis of proposed business initiatives from a risk based regulatory perspective;
  • Support in the review, updating, or drafting of regulatory training material delivered to the business.

Compliance Governance

  • Maintains systems and procedural excellence through regular Compliance assurance monitoring, effective root cause analysis and continuous improvement and acts as Risk Monitor / Individual Controller for nominated risks within the Risk Matrix;
  • Raise recommendations to the HOC in relation to policy exceptions and issues escalation.

Commercial & Business Partnership

  • Support the Compliance culture by becoming a trusted advisor and partner to business and managers in relation to regulatory compliance issues and responsibilities;
  • Lead by example to proactively strengthen the compliance culture across the business and strive to embed strong working relationships between compliance/risk function and the business (e.g. L&D function);
  • Recommend actions to the HOC to rectify risk areas and seek agreement of ownership and timeframe from HOC. Track completion of agreed actions until resolution.

Requirements

Who you are;

  • Able to demonstrate a track record gained through working within a similar role within the financial industry for a minimum of 5 years;
  • Bachelor degree in business, finance, law enforcement, legal studies or a related field. May be substituted with equivalent work experience in Compliance within the financial industry;
  • Knowledge of the regulatory landscape and key program pillar requirements across the globe.
  • You will have a detailed and broad understanding of legal/regulatory and compliance;
  • You have a in-depth knowledge of key reporting and data analytics tools (Power BI, Tableau, etc.)
  • You will have strong people skills and experience of managing multiple projects across various teams;
  • You will possess a strong ability to articulate and communicate risk/compliance issues across all levels and hierarchies in the business (from team members, managers, directors to the board);
  • Demonstrate project management skills and management skills necessary to produce work in accordance with professional standards;
  • Ability to assess complex activities to identify potential compliance and/or operational risks.

Benefits

  • Salary range from $83,000 to $102,000 per year, plus a discretionary bonus
  • Paid Time off (Vacation, Sick & Public Holidays)
  • Personal Days
  • Discounted Euronet Employee Share Purchase Plan (ESPP)
  • Retirement Plan (401k, IRA)
  • Health Care Plan (Medical, Dental & Vision)
  • Plumm Mental Health and Wellbeing Platform
  • Volunteering day for a charity of your choice

We want Xe to be a great place to work and to ensure that our communities are represented across our workforce. A vital part of this is ensuring we are a truly inclusive organisation that encourages diversity in all respects.

At Xe we are committed to making our recruitment practices barrier-free and as accessible as possible for everyone. This includes making adjustments or changes for disabled people, neurodiverse people or people with long-term health conditions. If you would like us to do anything differently during the application, interview or assessment process, including providing information in an alternative format, please contact us on recruitment@xe.com