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 THE 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 THE 1ST LOD SLG COMPLIANCE MANAGER AND THE 1ST LOD BANKING CONTROLS AND GOVERNANCE TEAM TO PROVIDE INPUT ON THE BANK’S RISK AND CONTROL INVENTORY
• ASSISTS SLG LEADERSHIP WITH CONSUMER COMPLAINT RESPONSE, AS NEEDED, AND MONITOR FOR APPROPRIATE COMPLAINT RESOLUTION TIMELINES
• EVALUATE ALL CURRENT AND NEW COMPLIANCE REGULATIONS; REVIEW COMPANY PROCESSES; IDENTIFIES AREAS AND ASSIST WITH DEVELOPMENT OF COMPLIANCE TRAINING MATERIALS, AS NEEDED
• AID IN THE CREATION, PREPARATION, AND DISTRIBUTION OF REPORTING TO VARIOUS PARTIES INCLUDING BUT NOT LIMITED TO SLG MANAGEMENT, BUSINESS UNITS, AND BANK COMPLIANCE DEPARTMENTS
• MONITOR TESTING REPORTS FOR TRENDS ITEMS AND ENSURE ANY PROCESS/SYSTEMIC ROOT CAUSES OF ISSUES ARE ADDRESSED 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
• ABLE 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
• ABLE TO THRIVE IN A FAST-PACED COMPANY
• PROVEN EXPERIENCE SUCCESSFULLY WORKING IN A CONFIDENTIAL ENVIRONMENT