Compliance Jobs

AVP Governance & Assurance, Financial Services, Chicago, IL

By March 28, 2022 No Comments

We are exclusively representing one of the country’s largest premium finance companies in its search for an AVP of Governance & Assurance to lead a team dedicates to being a true partner to insurance brokers and agents.

Why Join Us:
• Be a leader in a successful organization that has built a reputation for providing superior, innovative, and flexible service
• Join a team that continues to grow and provide new advancement opportunities for its employees.

Principal Responsibilities
• Responsible for monitoring and coordinating compliance activities of Client at the direction of the SVP of Governance & Assurance and coordinating and responding to requests from Client’s family of companies.
• Monitor BSA activity and managing a team of CRA and Quality Assurance representatives.
• Requires timely, accurate, and effective completion of Client’s CRA Self-Assessment and Performance Context, and monthly CRA reports.
• Identifies and communicates compliance deficiencies and potential problems to management; coordinates with and provides assistance to management in developing and implementing corrective action to resolve identified problems.
• Tracks all issues requiring corrective action and follows up to ensure corrective action has been taken.
• Assists in the compliance self-assessment (audit) program to determine and maintain compliance with all applicable laws, rules and regulations.
• Assists in coordinating responses to audit issues to ensure appropriate corrective action is taken, performs follow up to assure corrective action was taken.
• Oversee or conducts BSA research tasks on a daily monthly or as needed basis.
• Conduct with the assistance of the team the monthly pre-funding, post-funding and loan servicing quality control testing and compile resulting reports.
• Monitor, track and follow up on quality control audit findings based on established methodology.
• Assist in the process management and research for special investigations
• Ensure adherence to the department’s policy and procedure.
• Appropriate tracking of complaints, along with effective root cause and trending analysis.
• Assist in timely, accurate and thorough exam preparation as well as successful management of the exam process.
• Expected to be a leader who works alongside their team to execute individual and team goals
• Partner with Senior Management to facilitate and lead team, department, and/or company goals
• Attend intracompany meetings to represent Governance and Assurance interests, provide updates or relay information back to the team/department
• Recommend changes to procedure or system functionality that meet policy requirements and improve efficiency
• Manage the cross-training process and operate as a back-up to team members when necessary
• Facilitate training of employees when new processes, regulations, technology or procedures are introduced, or as needed.
• Follow up on companywide Compliance training completion
• Facilitate coaching plans & meetings aimed at staff development and/or performance improvement

• Seven (7) or more years of progressively responsible full-time direct experience in a financial services organization
• BSA compliance and testing experience required
• Bachelor’s degree required

Application Process– Qualified professionals are to submit resume to Jessica Simpson at:

Published by Conselium Executive Search, the global leader in compliance search.  

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