Regulatory Compliance Exam Specialist

Responsibilities

• Help provide responses to state and federal requests for information.
• Coordinate state and federal regulatory examinations from agencies like the CFPB, DOJ, FTC, SEC, NY DFS, DBO, TX OCCC and others.
• Develop and implement necessary corrective actions to resolve cited exceptions that result from state and federal regulatory examinations.
• Schedule follow-up internal audits to monitor and maintain the effectiveness of the corrective actions taken to ensure future compliance.
• Prepare written responses to exception reports and ongoing audit results to state and federal regulators.
• Develop and present Root Cause Analysis along with Corrective Action Plans to the compliance board and board of directors.
• Work closely with the Chief Compliance Officer and Regulatory Compliance Counsel to ensure that cited exceptions are in fact valid before developing and implementing a remediation/corrective action.
• Work with and partner with business units to develop, design, document, and maintain monitoring policies and procedures for the objective of ensuring compliance with relevant legal and regulatory requirements governing compliance finance.

Requirements

• Basic knowledge of multi-state regulatory requirements for auto finance.
• Strong communication skills (verbal, writing) including the ability to communicate professionally with state and federal regulators and upper management.
• Superior interpersonal skills and teamwork awareness.
• Demonstrated understanding of learning & development principles.
• Must be able to handle multi-tasking of projects and manage priorities in fast-paced environment; and Detail Oriented.

Education and/or Experience

• Bachelor’s Degree from an accredited College or University in Business related discipline.
• Prior experience in the auto finance industry is preferred.
• Machines, Office Equipment & Software: Daybreak or other retail consumer servicing systems preferred; Web navigation and/or web-based application; Personal computer: Microsoft Word, Excel, and Outlook, PowerPoint, Vision; Copier, Faxing & other general office supplies.

Compensation Plan

$60,000 - $80,000 depending on experience. The exact starting compensation to be offered will be determined at the time of selecting an applicant for hire and will be dependent on a wide range of factors, including but not limited to geographic location, skill set, experience, education, credentials, and licensure when applicable.

Benefits

• Medical, Dental, and Vision benefits.
• Life Insurance and Long-term disability plans.
• Flexible Spending Account.
• 401K matching.
• Employee Stock Ownership Program in a $18.2 Billion Company, plus company matching.
• Wellness Programs.
• Metro Tap Card and Metro-link Reimbursement (for Los Angeles, CA employees only).
• Career Path Opportunities.
• Discounts on Parks, Museums, Movie Tickets, and Attractions.
• Annual Flu Shot.
• Paid Vacations Days.
• Paid sick days.
• Paid holidays.
• HGym (available in our Los Angeles, CA & Dallas,TX office).
• Rental Car Discounts, Dell Member Purchase Program UKG Wallet.