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Years of Experience
Date Last Verified
Compliance Manager The candidate will review and accurate analysis of the company's regulatory compliance status making recommendations for changes where appropriate. Will monitors, researches and reviews both proposed activities and implemented regulatory and legislative changes, proposes company response to regulatory changes and if approved, follows up with appropriate departments to ensure required changes are implemented. Consults with internal business groups on strategic compliance initiatives and works with them to develop strategies, provide training and execution of initiatives. Provides input and representation on key compliance initiatives, attending appropriate meetings and participating in applicable committees. Specific areas of regulatory focus include but are not limited to: State & Federal Law, Federal Regulatory Agencies, Electronic Signature Regulations, Adverse Action Letter Processes, Communications Review, GLB Policy implementation and compliance.
Qualification and Experience
The candidate must have 5 years+ of related work experience in a financial services compliance position. Must have significant expertise in financial services industry. Solid experience working with state and federal legal and regulatory agencies is required. Must have 5+ years’ experience in legislative review, analysis and reporting. Experience developing and filing licensing, insurance and policy documents is required. Experience working within a legal or compliance-related department (preferably with financial services company) is required. Strong familiarity with standard concepts, practices and procedures within the Financial Services industry, automobile lending a plus. BS or BA degree in business or related field preferred. Paralegal or law degree preferred. Advanced skills in Microsoft Office applications is required. Proficiency with spreadsheets, database applications and document management software is required.
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