Job Details

Senior Compliance Manager

Company name

Organization Type

In-House

Job Type

Attorney

Years of Experience

Min 1 yrs required

Location

Petaluma, CA

Date Last Verified

Sep 18,2017

Posted on

Aug 27,2017
Practice Area
Government and Government Relations >> Government and Government Relations
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Senior Compliance Manager Responsibilities: Supervise Legal Complaints Intake Specialists (“CIS”) and advise CISs on appropriate resolutions and escalations of complaints. Review current processes and procedures of the CIS Team; Advise Legal and Operations executives on best practices risk mitigation and legal complaint resolution. Work in partnership with the business to provide guidance in the identification, assessment, management and resolution of operational and regulatory risks, focusing on issues raised through customer complaints. Advise/provide recommendations on complaint handling remediation and customer communications/responses. Analyze customer complaint data to determine control deficiencies and possible corrective action required. Keeps abreast of changing laws, regulations, or policies to ensure the appropriate changes are timely implemented. Advises and consults on proposed new products, services, and initiatives with regard to compliance obligations and corresponding compliance risks, and mitigating controls. Reviews/identifies regulatory impact, and approves recommended controls. Effectively partner with lines of business to solicit information and to mitigate risk. Develop and publish reports necessary to monitor trends, assure operational effectiveness, reduce risk and implement compliant practices. Demonstrate proficiency in accessing systems, platforms, applications and data repositories in multiple lines of business. Demonstrate a strong sense of urgency in responding to escalated issues and rapidly changing priorities.

Qualification and Experience

Qualifications: Bachelor’s Degree; advance degree in business or related field (JD Degree ) preferred . 7-10 years of compliance, reputational, and operational risk experience. Certified Regulatory Compliance Manager (CRCM) certification or equivalent preferred. Experience working in a large, complex financial services organization. Prior experience working with regulatory agencies, including State agencies and administrative oversight agencies. Self-motivated and confident decision-maker with the ability to demonstrate leadership, challenging and influencing change where necessary. Experience identifying reputational, legal and operational risk concerns. Flexibility and ability to work in a fast-paced environment where priorities shift rapidly. Ability to deal with highly confidential information in a professional manner. Knowledge of PACE and construction business and related operational processes desired.

Additional info

Job ID: 2017-1552

Company info

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