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Compliance Manager

Remote:

Full Remote

Contract:

Full time

Salary:

10 - 10K yearly

Experience:

Senior (5-10 years)

Work from:

Georgia (USA), United States

Offer summary

Qualifications:

5+ years in regulatory and compliance, Experience in financial services, Understanding of banking laws and regulations, Project management experience.

Key responsabilities:

Review supplier L3 process alignment
Advise on incidents from supplier CTC control deficiencies

LanceSoft, Inc. XLarge https://www.lancesoft.com

5001 - 10000 Employees

See more LanceSoft, Inc. offers

Job description

Key responsibilities:

Review supplier L3 process alignment and document discrepancies, work with Governance team to properly align L3 processes
Review CTC alignment and document discrepancies, work with Compliance to properly align CTC processes
Document existing supplier controls corresponding to L3/CTC alignment, for missing controls design and document recommended controls to fill gaps
Work with Supplier Managers to educate suppliers on (new to them) control requirements and gain buy in to implement control and evidence requirements
Create a framework to maintain compliance alignment encompassing new supplier onboards, annual rereview of existing suppliers
Advise on incidents/Issues resulting from supplier CTC control deficiencies
Support Supplier Managers during Supplier Surveillance Reviews and Supplier/Process Incident/Issue Roundtables

Skills needed:

Ability to work across stakeholders including Supplier Management Program, Compliance, Process Owners, and Surveillance to ensure critical to compliance requirements are embedded into Growth Supplier Management engagements and proper controls are in place to mitigate risk
Ability to understand supplier relationships (and challenge CTC assignments) between CTCs and company-owned process controls to identify gaps in supplier processes that present compliance and reputational risk
Able to review key supplier controls against CTC mitigating risk and understand any gaps in company’s oversight of those controls
To extent gaps exist, work across suppliers and process owners to drive modification, expansion or build of control at company and/or with the supplier
Build steady state onboarding and reassessment framework so that suppliers remain compliant and to catch additional activities that require review
Provide leadership to assist supplier managers in taking an active role to support compliant Growth supplier engagements specifically overseeing the development and implementation of necessary monitoring
Review Growth issues that involve suppliers to determine whether root cause sits with supplier particularly where the issue was due to a breakdown or lack of control
Identify and share best practices ways of working across the Growth team
Ability to work with process owners, 2LOD and supplier managers to properly define, align and challenge supplier descriptions to capture activities that require compliance oversight

Required Skills:

5+ years regulatory and compliance experience including experience working in financial services - working with auditors and regulators such as the FRB, OCC, and FDIC
Understand key banking laws, guidance and regulations affecting the Growth organization(e.g., Fair Lending, UDAAP, Reg Z)
Demonstrate strong risk management mindset and behavior including and understanding of how to review business risks and controls
Work as a part of a cross functional team across the lines of defense
Critical thinking and ability to challenge
Strategic and thought leadership as supplier needs and expectations evolve
Project management experience building a “new” way of viewing existing activities and bringing along teams in new ways of thinking/working