SLG First Line Compliance Specialist

Essential Duties and Responsibilities

• Partners with the business unit to enhance regulatory compliance within all processes, procedures and practices
• Partners with 1st LOD Compliance Manager on findings and recommended remediation
• Partners with Corporate Compliance and SLG leaders on remediation and risk mitigation efforts
• Looks for opportunities to create/enhance compliant operational efficiencies
• Advocates for the business’s needs while balancing the requirements of complex laws and regulations
• Provides input on emerging risks, control effectiveness, compliance risk exposure and mitigation efforts
• Provides input on 1st LOD Compliance Testing Calendar
• PARTNERS WITH 1ST LOD SLG COMPLIANCE MANAGER AND 1ST LOD BANKING CONTROLS AND GOVERNANCE TEAM TO PROVIDE INPUT ON THE BANK’S RISK AND CONTROL INVENTORY
• Aids SLG leadership with consumer complaint response, as needed, and monitors for appropriate complaint resolution timelines
• Evaluates all current and new compliance regulations; reviews company processes; identifies areas and assists with development of compliance training materials, as needed
• Aids in the creation, preparation, and distribution of reporting to various parties including but not limited to SLG management, business units, and bank compliance departments
• MONITORS TESTING REPORTS FOR TRENDS ITEMS AND ENSEURES ANY PROCESS/SYSTEMIC ROOT CAUSES OF ISSUES ARE ADRESSED WITH THE BUSINESS UNITS AND/OR REPORTED THROUGH APPROPRIATE CHANNELS

Qualifications

• Ability to convey complex regulatory requirements in a clear and concise manner
• Proven track record of building and creating processes, procedures and reporting
• Ability to build rapport and trust with teams cross-functionally and across all levels and provide a positive atmosphere to the team and others
• Demonstrated ability and experience providing successful and efficient solutions to discovered risks
• Proven experience successfully interacting with auditors, consumers, and internal staff
• Ability to thrive in a fast-paced company
• Proven experience successfully working in a confidential environment