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In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 5 yrs required
Compliance Officer Duties: Manages compliance activities within a department or region. Sets strategies and plans for their respective subject area and/or function. Be fully knowledgeable of assigned product/functional area, and has a thorough understanding of their areas of responsibility as well as a broad understanding of the entire Compliance function and the related business functions. Evaluates business practices and reviews transactions to ensure that business is conducted in compliance with all applicable laws, regulations and internal policies and procedures. Keeps abreast of new laws, rules, products, technologies and applications, and assesses implications for assigned areas. Develops compliance policy and guidelines with a focus on: Privacy; Fairness Program Initiatives; including Complaints Management, 3rdParty Oversight. Key strategic business initiatives (new products; new distribution models etc). Provides support to the business units to include business development activities; engages in resolution of issues and concerns. Collaborates with the business to manage compliance. In partnership with business management, develops and executes on business plans for area of responsibility.
Qualification and Experience
Requirements: Should have minimum of a Bachelor's degree. Advanced degrees or licenses, including an MBA, JD, and/or other certifications (e.g., CRCM, CPA, CAMs) a plus. Should have 5+ years of consumer compliance experience, preferably with extensive consumer finance knowledge. Must have knowledge of key federal and state consumer finance regulations. Should have excellent project management skills, strong writing, analytical and communication skills and be able to multi-task and complete projects on time. Should have strong research skills, advanced skill in the use of Microsoft Word, Excel, PowerPoint, Outlook and experience with on-line research systems including the Internet. Should have experience developing and implementing compliance controls; also should be able to construct and execute tests of controls.
Ref: 15036174.
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