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Date Last Verified
Years of Experience
ProfileSenior Regulatory Attorney, Banking And Financial Services And Insurance The candidate will be responsible for providing legal advice to bankâ€™s Banking and Financial Services and Insurance business on regulatory requirements pertinent to the company's services and software products. Develop and implement processes to ensure the organization is compliant with regulatory requirements, review and negotiate relevant client contract terms and lead and oversee any applicable licenses. Other responsibilities include: Establishing relationships with relevant federal and state agencies and updating and maintaining any required government issued licenses; Preparing and submitting written notices and complaint responses to appropriate state and federal agencies; Analyzing new and pending laws and regulations which directly affect applicable services and products; recommending appropriate policies, procedures, controls, reporting, contract language and agreements to ensure compliance; Reading and understanding reports, validating and analyzing examination findings, identifying standard methodologies and apprising senior management; Negotiating regulatory terms in service agreements for services, products and platforms and other tools used in support of regulated activities; Assisting in the development of new products and services by identifying applicable regulatory requirements; Supporting corporate compliance in the development and implementation of policies and procedures, oversight, internal advisory/consulting and monitoring/reporting activities to ensure compliance with all applicable regulations, and Identifying and mitigating regulatory risk across lines of business.
Qualification and Experience
The candidate should have J.D. from accredited law school. Should have 10 years of experience providing legal advice within the financial services and/or insurance industry. Should have knowledge of federal laws such as GLBA, FCRA, AML, OFAC, Dodd-Frank, SEC regulations and FINRA requirements. Familiarity with state insurance laws governing P&C, life, annuity, WC and group benefit lines of business is required. Must have experience working with financial institutions and/or insurance companies, federal and state regulators and third party administrator licenses and broker-dealer requirements. Familiarity with privacy and security regulations applicable to financial institutions and insurance is required. Must have shown experience creating and implementing regulatory compliance programs within a financial services or insurance organization including legal risk management and standardized contract language. Should have excellent knowledge of financial service and insurance operations including to call center, premium handling, claims and producer licensing. Must have advanced written and verbal communication skills and ability to work in a fast-paced environment. Should have strong data analytic skills; attention to detail. Must have strong communication skills (verbal, written, listening) including ability to communicate expertly with regulators, executives and operations staff at all levels.
9655 Maroon Circle
Englewood, CO 80112