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Years of Experience
Date Last Verified
ProfileVice President of Compliance Duties: Provide guidance to senior officers and managers on all ethics, business conduct and compliance matters. Establish, maintain and leverage relationships with other functional areas, such as the Finance Department, Legal Counsel, Human Resources and other business units to direct activities to promote an effective and synchronized approach to risk management. Advise on compliance with laws and regulations applicable to credit based product lines, day-to-day corporate activities and securities transactions, including consulting on the design and implementation of key strategic initiatives and business changes to provide tactical regulatory/compliance advice on regulatory requirements both individually and through compliance team. Ensure that remediation efforts are sufficient and timely; review action plans and remediation documentation to support event closure; participate in root cause analysis and the identification of customer experience improvement activities. Prepare for and coordinate third-party examinations, including ensuring that information requests from third-party partners and regulators are completed timely and accurately. Work to simplify the legal, regulatory, and risk management requirements that business teams must satisfy and develop strategies to support the efficient implementation of those requirements – ability to use data to support testing efforts and risk assessment; must be proficient in data analytics. Oversee and implement testing program to determine the adequacy and effectiveness of compliance controls and develop periodic reporting on the test results. Establish, implement and supervise compliance policies and procedures throughout the organization to ensure that the compliance program is effective and efficient in identifying, preventing, detecting and correcting non-compliance with regulatory requirements. Conduct enterprise-wide risk assessments and monitor compliance risk metrics. Oversee the development and assignment of compliance training programs. Participate in business management, risk, new product and project meetings and provides compliance risk advice as well as ongoing information about new and changing regulatory developments.
Qualification and Experience
Qualifications: Bachelor’s Degree. Professional certification(s) such as Certified Regulatory Compliance Manager (CRCM), Certified Risk Professional (CRP), Certified Anti-Money Laundering Specialist (CAMS), Certified Information Privacy Professional, or Certified Internal Auditor (CIA) strongly preferred. 5-8 years of financial services experience, preferably in compliance, risk management, operations and/or audit roles preferred. Masters or Law Degree preferred. Solar and/or Finance industry experience. Strong interpersonal, communication and influencing skills. Comfortable with a “hands-on” approach and balancing multiple, competing priorities and changes in scope / direction, all with a high sense of urgency. Comprehensive knowledge and application of financial services laws and regulations, risk management controls, internal control practices and audit concepts and techniques. Self-starter, with the ability to follow through on matters and bring them to resolution in a timely and reasonable manner. Willingness and ability to learn new laws, rules, and regulations. Ability to think and act strategically and tactically. Solid analytical, problem solving and critical thinking skills. Familiarity with securities and investment advisory laws, rules and regulations.