Compliance and Control Senior Group Manager

Full-time 1 views
Company BCG Attorney Search Location Tacoma, WA, United States

Recruiter

Attorney

11-17 yrs required

Full-time

Profile

Tacoma office of our client seeks a compliance and control senior group manager with 12-15 years of total work experience, 3-5 years of management experience is preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services, or business lines/areas and the pertaining laws, regulations, and rules of relevant regulators is preferred. Experience required with Reg E, fair lending, mortgage origination, UDAAP, Community Reinvestment Act, Reg Z, and consumer banking in general. The candidate manages consumer compliance professional staff responsible for overseeing and managing highly complex, specialized administrative, operational and financial affairs of the Compliance function relating to the Wealth Management banking business. Directs the team's assessment of regulatory and policy requirements in order to develop programs and projects to improve compliance and presents program and project recommendations to more senior managers. Advises on and directs business units to further improve each group's ability to remain in compliance with or become compliant with applicable laws, policies, and regulations. Maintains strong knowledge of lending laws, policies, and regulations and appropriately requests the advice of experts, as needed. Uses strong influence and experience within the specialty area of expertise to increase the likelihood that compliance strategy changes are appropriately implemented in a timely manner by the Wealth Management Lending unit. Contributes to the establishment of the overall compliance strategy and is responsible for appropriately directing the implementation of the strategy. Directly influences the ways in which business units implement approved procedures to meet requirements to ensure alignment with industry best practice methodology. Directs and manages the assessment and validation of specialized control processes to ensure compliance with laws, rules, and regulations. Directs efforts to develop a strong compliance culture among senior business unit managers and increase organizational awareness of compliance roles and responsibilities. Develops tools for senior business unit managers' use in explaining the compliance strategy and expectations among their teams. Uses strong, longstanding relationships with senior business unit managers to increase the likelihood of timely completion of compliance activities and responses to reports issued by regulatory agencies or audits. Maintains strong relationships with regulators and government officials and appropriately escalates high-impact issues raised by these contacts to more senior managers or leadership. Independently addresses issues with a moderate risk level and some potential financial impact for the organization. Recruits direct, motivate, and develop professional staff and more junior personnel, maximizing their individual contribution, their professional growth, and their ability to function effectively with their colleagues as a team and/or lead. Provides feedback at the most critical times. Directs the team's completion of comprehensive, risk-based reviews of existing and emerging regulatory requirements and provision of prompt, focused feedback to business management on concerning issues and control gaps. Implements corrective action and issue tracking to ensure resolution efforts proceed timely and effectively. Is responsible for the accuracy of reporting produced by the team and the appropriate escalation of the most significant issues to senior management. Manages teams of professional staff responsible for the achievement of goals and objectives. Ensures appropriate financial and human resource allocation.

Company info

BCG Attorney Search

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