Job Details

Director, Financial Products Compliance

Company name

Organization Type

In-House

Job Type

Attorney

Years of Experience

Min 5 yrs required

Location

Tempe, AZ

Date Last Verified

Jul 31,2017

Posted on

Jul 28,2017
Practice Area
Finance >> Finance - General
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Director, Financial Products Compliance The candidate will work with legal subject matter experts and outside counsel to monitor and interpret the various laws, regulations, contractual obligations and industry best practices relating to the company’s suite of financial products, including Payroll, Pension Plans, Stock Options, Commuter Benefits, Health Savings Accounts (HSA), and Flexible Spending Accounts (FSA). Develop and enhance the existing fraud prevention and financial products compliance program, policies, procedures and guidance to continually improve our compliance posture. Provide awareness and training to personnel on how to interpret, understand and comply with the financial requirements. Advise business leaders on regulatory requirements and risks relating to the design, marketing and delivery of financial products and services to the company’s customers. Work closely with product engineering to ensure the company’s financial products comply with compliance requirements. Design controls to monitor and validate compliance with requirements. Monitor and support the resolution of compliance risks. Respond to actual or potential violations identified through auditing and report back to leadership. Maintain documentation and executive reports on the fraud prevention and financial products compliance program.

Qualification and Experience

The candidate should have Bachelors degree in business, finance, accounting or related field. Graduate degree and certifications are a plus (CPA, CIA, CFE, JD, PMP, CCEP, MBA, Six Sigma Black Belt, etc.). Must have 5+ years of experience in financial compliance and/or operations. Experienced in building or performing compliance assessments or audits. Experienced in operational environments with a high-volume of transactions. Track record of success in positions of increasing responsibility, including building and implementing programs and processes. Collaborative team player and relationship builder with excellent interpersonal skills required. Excellent written and verbal communication skills.

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