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Regulatory Compliance Specialist

2 months ago

Hartford, Connecticut, United States Hispanic Technology Executive Council Full time
Job Summary

We are seeking a highly skilled Senior Business Risk Manager to join our team at the Hispanic Technology Executive Council. As a key member of our organization, you will be responsible for providing regulatory support and internal control discipline for our lending products.

Key Responsibilities
  • Oversee the design and effectiveness of the risk and control environment to support our business operations and ensure adherence to enterprise-wide standards.
  • Support the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation.
  • Implement optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts.
  • Conduct and coordinate quality inspection reviews to enhance employee performance and control effectiveness.
  • Perform QA activities including executing on controls, managing cases, and reporting results.
  • Execute initiatives by identifying areas of potential testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities to enhance QA program success.
  • Support the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting.
  • Monitor the control environment to drive adherence to regulatory requirements and enterprise standards.
  • Provide regulatory direction and SME support including, impact analysis and policy change.
  • Actively engage in process change initiatives to ensure solutions result in compliant outcomes with meaningful, sustainable controls.
  • Analyze compliance testing, monitoring reports, and other testing results to identify primary root cause of errors and escalate for remediation.
  • Interface with Global Compliance and Operational Risk (GCOR) and Legal partners to provide the business point of view on regulatory topics.
  • Identify issues and/or control improvements for remediation.
  • Perform assessments of compliance against regulatory requirements and enterprise policies.
  • Coordinate with partners and stakeholders to ensure end-to-end process engagement.
  • Provide audit and exam support.
  • Acts as an ambassador of the risk culture.
Requirements
  • Minimum of 3 years of relevant work experience with a working knowledge of lending regulations, as well as lending processes.
  • Demonstrated ability to think strategically and execute tactically.
  • High attention to detail and strong organizational skills with the ability to prioritize requests and workload accordingly.
  • Ability to read and understand regulatory requirements, anticipate risks, and summarize key information.
  • Influence across the organization and diverse audiences.
  • Strong written and verbal communication skills.
  • Self-starter with excellent anticipation skills, problem solving, follow-up.
  • Demonstrated dependability and ability to act with a sense of urgency.
  • Ability to work in a fast-paced and complex environment.
  • Ability to deal with sensitive data and maintain confidentiality.
  • Ability to identify risks and ways to mitigate those risks.
  • Exhibits strong relationship management and interpersonal skills.
Desired Qualifications
  • 5+ years of risk management or business control experience.
  • Mortgage lending regulation expertise, specifically related Home Mortgage Act (HMDA), and Equal Credit Opportunity Act (ECOA).
  • Process Improvement and/or data analysis experience.
  • Capable of performing complex analyses and formulating solutions independently.
  • Experience with root cause analysis.
Skills
  • Controls Management.
  • Issue Management.
  • Monitoring, Surveillance, and Testing.
  • Quality Assurance.
  • Risk Management.
  • Analytical Thinking.
  • Attention to Detail.
  • Critical Thinking.
  • Problem Solving.
  • Written Communications.
  • Decision Making.
  • Innovative Thinking.
  • Prioritization.
  • Recording/Organizing Information.
  • Research.
Education

High School Diploma / GED / Secondary School or equivalent.