ESSENTIAL DUTIES AND RESPONSIBILITIES include the following:
Oversee the development, implementation, management and continuous improvement of measures necessary to comply with all applicable laws, rules and regulations; documentation, testing and monitoring of those measures; and communication of and training on those measures.
Lead a team of professionals dedicated to SEC transfer agency, OCC trust company, broker-dealer and residential mortgage servicing Compliance.
Assist management with identifying and effectively resolving regulatory and compliance issues.
Provide Compliance support for new product and business initiatives.
Partner with business units, the Legal Department and other functions to analyze and proactively manage changes to legal and regulatory requirements.
Provide leadership in the effective management of examinations and inquiries by, and relationships and filings with, regulatory authorities.
Establish and maintain industry and regulatory interactions in an effort to advance and shape industry compliance environments.
Communicate regularly with management on such matters as the progress of the Compliance program, new developments and findings and issues of concern.
QUALIFICATIONS (To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.):
Bachelor's degree from a four-year college or university, and at least 10 years of compliance or regulatory experience, primarily in financial services, or equivalent combination of education and experience. Related experience practicing law a plus.
Broad-based, working knowledge of corporate compliance programs and financial services regulation, including in particular FINRA and residential mortgage servicing; SEC, OCC and insurance experience a plus.
Excellent presentation, oral and written communication skills, with the ability to understand, condense and effectively communicate complex regulatory concepts.
Personal integrity, solid judgment, teamwork and a flexible, problem-solving approach.
Demonstrated leadership skills, including ability to effectively deal with senior management, matrix organizations and change and influence management.
Experience in staff management, including talent development.
Highly motivated and able to thrive in a fast-paced environment.