Experis is seeking a Compliance Professional with Consent order working knowledge. The Regulatory Compliance officer is responsible for completing assignments in accordance with company policies and procedures under the supervision of a Compliance Manager and Audit Manager. The Senior Compliance officer is expected to understand and apply compliance, audit principles and standards to complete assignments with minimal supervision
- Facilitates governance reporting for internal and external stakeholders, inclusive of metrics relating to Consent Orders (COs), Matters Requiring Immediate Attention (MRIAs) and Matters Requiring Attention (MRAs).
- Liaises and interacts with the resident OCC, FRB and SRO teams including responding to ad hoc requests and participating in ongoing meetings with senior leadership.
- Apprises senior leadership of regulatory related metrics including the statuses of regulatory examinations, inquiries, document submissions and regulatory developments.
- Identifies and escalates to senior leadership issues raised during the course of regulatory exams, as appropriate.
- Anticipates potential regulatory issues and criticisms, and escalates to senior leadership, as appropriate.
- Drives the timely delivery of regulatory issue validations.
- Provides guidance to internal stakeholders to ensure effective, appropriate and accurate responses and, where necessary, initiates dialogue with the regulators to gain better understanding and clarity regarding information requests.
- Promotes the use of globally consistent communication tools, templates and presentations.
- BS or equivalent, preferably with a degree related to business, fiancé or accounting. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus.
- 2 plus years of relevant experience in internal audit, banking compliance, legal or other control-related function in the financial services industry.
- Broad understanding of multiple disciplines (AML, Risk, Compliance, and Culture and Conduct) and of different Internal Audit standards, policies and local regulations.
- Strong appreciation of high risk areas including AML, Consumer Bank business, Investment Banking Division, Corporate functions, technology management, and program management.
- Subject-matter expertise regarding various regulations surrounding the Global Consumer Banking (GCB) business such as Fair Credit Reporting Act (FCRA), Flood Disaster Protection Act (FDPA), Truth in Lending Act (TILA), Equal Credit Opportunity Act (ECOA), Regulation AA, and Fair Housing Act.
At Experis Finance (www.experis.com), wave built a reputation for results-driven, innovative workforce solutions that help companies create competitive advantage. From basic to complex, we custom tailor our services to fit our clients' needs from interim and permanent professional talent resourcing to complete project solutions in the areas of risk advisory, tax and finance & accounting. Our professionals provide specialized industry and technical experience and expertise to our clients, enabling them to accelerate their business performance. We serve clients, including Fortune 500 and Global 1000 companies, from offices worldwide leveraging the workforce capabilities