Regulatory Compliance Specialist

2 weeks ago

Glen Allen, Virginia, United States The Ladders Full time
Role Overview

The Regulatory Compliance Specialist is responsible for executing compliance assessments and monitoring activities, alongside comprehensive reporting that offers valuable insights into regulatory trends and issues. This position plays a crucial role in supporting the Compliance Management System (CMS) Regulatory Assurance Program within the organization's risk management framework.

Key Responsibilities
  • Design and develop testing protocols and methodologies tailored to meet regulatory requirements across various business units.
  • Conduct thorough compliance evaluations to assess the effectiveness of regulatory controls and operational efficiency. Gather, analyze, and evaluate relevant data, ceasing fieldwork once sufficient evidence has been collected to substantiate findings.
  • Prepare and maintain detailed documentation, including workpapers and reports, to effectively communicate results to relevant stakeholders.
  • Engage in peer reviews of colleagues' documentation and reports, providing constructive feedback and insights.
  • Facilitate discussions with stakeholders to outline the scope and objectives of compliance assessments, identifying associated regulatory risks and presenting findings.
  • Compile and present preliminary and final reports, detailing findings and recommending corrective actions for improvement.
  • Participate in meetings to offer insights on compliance initiatives and enhancements.
  • Assist in the creation of compliance management reports and identify data needs for effective testing.
  • Collaborate with the CMS Regulatory Assurance Program Manager to propose enhancements to existing protocols and explore technology solutions to streamline processes.
  • Ensure adherence to all relevant laws and regulations governing banking operations, including compliance with internal policies and standards.
  • Engage in training and industry sessions to enhance understanding of regulatory requirements and best practices, staying updated on changes in relevant laws and regulations.
  • Support special projects as assigned by the Regulatory Assurance Manager or Chief Compliance Officer.
Organizational Structure

Reports to: CMS Regulatory Assurance Program Manager

Supervisory Responsibilities: None

Qualifications

Education & Experience
  • Bachelor's degree in a relevant field such as criminal justice, business, or finance is preferred.
  • Regulatory certifications (e.g., CRCM, CAMS, CAFP) are advantageous.
  • A minimum of 5 years of demonstrated experience in regulatory compliance or financial crimes compliance, ideally within an assurance or quality assurance context.
Knowledge & Skills
  • In-depth knowledge of federal and state banking regulations, including consumer protection and financial crimes compliance.
  • Exceptional communication skills, with the ability to engage effectively with stakeholders at all levels.
  • Strong analytical abilities, capable of conducting root cause analysis and assessing complex issues.
  • Proficient in researching and recommending process improvements with a focus on customer impact.
  • Ability to interpret government regulations and technical documents accurately.
  • Strong presentation skills, capable of conveying complex issues clearly and concisely.
  • Ability to work independently as well as collaboratively within a team environment.
  • Adaptability to changing circumstances and requirements.

Salary and benefits will be determined based on various factors, including education, experience, and certifications. The organization is committed to diversity and inclusion, providing equal employment opportunities to all individuals.

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