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Principal Compliance Specialist
2 months ago
With us, you’ll do meaningful work from Day 1. Our
collaborative culture is built on three core behaviors: We Play to Win, We Get Better Every Day & We Succeed Together.
And we mean it — we want you to grow and make a difference at one of the world's leading digital banking and payments companies.We value what makes you unique so that you have an opportunity to shine.
Come build your future, while being the reason millions of people find a brighter financial future with Discover.
Job Description:
The Principal Compliance Specialist – Compliance Monitoring and Testing Strategy within Corporate Compliance performs a key second line of defense role by helping to ensure regulatory requirements are met by our consumer banking lines of business.
The Principal Compliance Specialist will be responsible for executing complex risk-based compliance monitoring and testing for the purpose of independently validating business line adherence to applicable laws and regulations.
The position requires experience in the design and execution of compliance monitoring and testing, issues management and reporting, as well as regulatory compliance knowledge.
Responsibilities
Execution of targeted, complex monitoring and testing in accordance with compliance monitoring methodology and procedures.
Development of test scripts to support assigned compliance monitoring reviews.
Ensure test scripts are properly designed to identify non-compliance with applicable laws and regulations.
On-going validation of corrective actions as compliance issues are remediated.
Systematically retain documents and substantiate compliance monitoring results.
Manage scheduling to ensure all tasks and reporting are completed in a timely manner.
Conduct meetings with lines of business, including Compliance Advisory partners, regarding potential issues.
Perform effective root cause analysis, obtain corrective action plans from lines of business, and assign risk ratings in accordance with internal procedures.
Draft formal report.
Assist with the development and maintenance of applicable Program documentation and procedures.
Assist with on-going reporting of progress against Compliance Monitoring Plan, findings, and associated management resolution efforts.
Assist in the
improvement/enhancement
of the compliance monitoring program.
Maintains and enhances department or functional units in support of the overall compliance program components.
Assists
with researching
regulatory compliance requirements and evaluating the adequacy of business policies, procedures, training and reference materials, system
,
and manual processes.
Assists
with the identification and assessment of compliance program risks and controls.
Supports management in the development, implementation, and maintenance of compliance programs and a culture of compliance.
Assists
with the preparation of status reports of program initiatives, activities, and compliance issues to management and committees.
Minimum Qualifications
At a minimum, here is what we need from you:
·
Bachelor's Degree Business Administration and Management, Security and Intelligence, Law, Information technology, Analytics or Finance.
·
6+ years ofexperience in compliance, law, risk management experience, or relatedfield
·
In lieu of a degree,10+ years ofexperience in compliance, law, risk management, or relatedfield
Preferred Qualifications
If we had our say, we would also look for:
Certified Regulatory Compliance Manager
8+ years of experience in Compliance
Application Deadline:
The application window for this position is anticipated to close on Jun-25-2024. We encourage you to apply as soon as possible. The posting may be available past this date, but it is not guaranteed.
About This Role
Discover. A brighter future.
With us, you’ll do meaningful work from Day 1. Our
collaborative culture is built on three core behaviors: We Play to Win, We Get Better Every Day & We Succeed Together.
And we mean it — we want you to grow and make a difference at one of the world's leading digital banking and payments companies.We value what makes you unique so that you have an opportunity to shine.
Come build your future, while being the reason millions of people find a brighter financial future with Discover.
Job Description:
The Principal Compliance Specialist – Compliance Monitoring and Testing Strategy within Corporate Compliance performs a key second line of defense role by helping to ensure regulatory requirements are met by our consumer banking lines of business.
The Principal Compliance Specialist will be responsible for executing complex risk-based compliance monitoring and testing for the purpose of independently validating business line adherence to applicable laws and regulations.
The position requires experience in the design and execution of compliance monitoring and testing, issues management and reporting, as well as regulatory compliance knowledge.
Responsibilities
Execution of targeted, complex monitoring and testing in accordance with compliance monitoring methodology and procedures.
Development of test scripts to support assigned compliance monitoring reviews.
Ensure test scripts are properly designed to identify non-compliance with applicable laws and regulations.
On-going validation of corrective actions as compliance issues are remediated.
Systematically retain documents and substantiate compliance monitoring results.
Manage scheduling to ensure all tasks and reporting are completed in a timely manner.
Conduct meetings with lines of business, including Compliance Advisory partners, regarding potential issues.
Perform effective root cause analysis, obtain corrective action plans from lines of business, and assign risk ratings in accordance with internal procedures.
Draft formal report.
Assist with the development and maintenance of applicable Program documentation and procedures.
Assist with on-going reporting of progress against Compliance Monitoring Plan, findings, and associated management resolution efforts.
Assist in the
improvement/enhancement
of the compliance monitoring program.
Maintains and enhances department or functional units in support of the overall compliance program components.
Assists
with researching
regulatory compliance requirements and evaluating the adequacy of business policies, procedures, training and reference materials, system
,
and manual processes.
Assists
with the identification and assessment of compliance program risks and controls.
Supports management in the development, implementation, and maintenance of compliance programs and a culture of compliance.
Assists
with the preparation of status reports of program initiatives, activities, and compliance issues to management and committees.
Minimum Qualifications
At a minimum, here is what we need from you:
·
Bachelor's Degree Business Administration and Management, Security and Intelligence, Law, Information technology, Analytics or Finance.
·
6+ years ofexperience in compliance, law, risk management experience, or relatedfield
·
In lieu of a degree,10+ years ofexperience in compliance, law, risk management, or relatedfield
Preferred Qualifications
If we had our say, we would also look for:
Certified Regulatory Compliance Manager
8+ years of experience in Compliance
Application Deadline:
The application window for this position is anticipated to close on Jun-25-2024. We encourage you to apply as soon as possible. The posting may be available past this date, but it is not guaranteed.
Compensation:
The base pay for this position generally ranges between $88,500.00 to $149,300.00. Additional incentives may be provided as part of a market competitive total compensation package. Factors, such as but not limited to, geographical location, relevant experience, education, and skill level may impact the pay for this position.
Benefits:
We also offer a range of benefits and programs based on eligibility. These benefits include:
Paid Parental Leave
Paid Time Off
401(k) Plan
Medical, Dental, Vision, & Health Savings Account
STD, Life, LTD and AD&D
Recognition Program
Education Assistance
Commuter Benefits
Family Support Programs
Employee Stock Purchase Plan
Learn more at mydiscoverbenefits.com .
What are you waiting for? Apply today
All Discover employees place our customers at the very center of our work.To deliver on our promises to our customers, each of us contribute every day to a culture that values compliance and risk management.
Discover is committed to a diverse and inclusive workplace. Discover is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, or other legally protected status.
(Know Your Rights & Pay Transparency Nondiscrimination Provision)
Discover complies with federal, state, and local laws applicable to qualified individuals with disabilities and is committed to providing reasonable accommodations. If you require a reasonable accommodation to search for a position, to complete an application, and/or to participate in an interview, please email
HireAccommodation@discover.com
.Any information you provide regarding your accommodation needs will be kept confidential and will only be used to determine and provide necessary accommodation.
Learning & Development
Never get tired of learning
Mentors, a Tech Academy, Shine Brighter U: there are all sorts of ways to develop as part of our team. We hope they inspire you to grow. After all, brighter futures are what we’re all about.
Hear about life in Corporate Functions from our team
What benefit have you found most useful and what have you done with it?
Discover has wonderful benefits. I love all the benefits at Discover from all …
Ronak
Lead Program Manager
What do you love best about your job that is UNIQUELY Discover?
One thing I can tell you for sure is that Discover's leadership really cares …
Margarita
Senior Project Manager - Third Party Information Security Risk Management
What aspect of Discover's culture keeps you at the company?
The aspect of Discover's culture that has kept me at the company now for …
With our benefits, life’s easier – which means you’re free to grow
Join us and you can expect a whole lot of rewards. From Health and insurance to on-site fitness centers, there’s everything you need to thrive – in and out of work.
Feel at home in a business where everyone accepts everyone
When you feel at home in a team, there’s nothing you can’t achieve. With our Diversity, Equity & Inclusion (DE&I) program and 10 Employee Resource Groups, everyone belongs.
Learn more about what we do for our communities
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01
Step two
Play our Pymetrics mini-games
03
Step three
Join us for an interview
04
Step four
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05
Step five
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