The ideal candidate is an experienced compliance professional who has a proven track record of (1) managing and facilitating a company’s state licensing obligations including renewals, exams, and communications with the state regulators and is experienced using NMLS; and (2) managing, investigating, and responding to regulatory complaints for a financial institution or a consumer finance company. You will often interact with employees in other departments, our clients, state regulators, third parties, and consumers.
Full-time onsite in Vista, CA or remote.
Responsibilities and Duties:
As our Compliance Manager, Licensing & Regulatory Complaints you will:
• Manage and maintain the company’s state licenses, respond to exams, interact with examiners, and escalate issues that may impact the status of a license.
• Manage and optimize the regulatory consumer complaints process including investigations, responses, and developing the team currently performing this function.
• Ensure complaints and inquiries from regulators are addressed and resolved promptly and completely and communications are accurate, concise, and tailored to the situation.
• Identify complaints that raise legal issues involving potential consumer harm or other regulatory compliance issues and ensure they are properly escalated.
• Identify and communicate opportunities to business line management to drive adjustments to policies and procedures based on the nature or number of substantive consumer complaints when appropriate.
• Conduct periodic assessments to ensure the regulatory complaints program evolves with business growth and regulatory expectations.
• Maintain a strong working knowledge of federal and state laws and regulations applicable to our industry.
The incumbent must meet work deadlines, have regular attendance, excellent oral and written communication skills, strong interpersonal skills, ability to work with a team, ability to multi-task, use a PC and a computer terminal. If remote, the incumbent’s workspace must meet the company’s minimum requirements for remote work. If local, it requires access to all areas of the office, and the ability to sit for extended periods of
time, periodically bending and twisting, and frequent application of a negligible amount of force to lift, carry, push, pull, or otherwise move objects. The incumbent must be able to perform the essential functions of this position with or without reasonable accommodation. The Company will provide reasonable accommodation where necessary.
• Bachelor’s degree or equivalent experience
• At least 5 years professional work in the financial services industry in compliance, audit, or legal strongly preferred
• Paralegal or CRCM certification, nice to have
• Significant licensing experience is a must
• Strong knowledge of consumer compliance laws and regulations
• Demonstrated track record of execution and results
• Ability to problem solve based on strong analytical and technical skills
• Excellent written and oral communication skills
• Excellent decision making, time management, and problem-solving skills
• Ability to effectively interact with all levels of an organization
• Excellent organizational and prioritization skills.
• Detail oriented.
• Proficiency with computers and strong typing skills.
• Ability to multi-task in a fast-paced environment and maintain a high degree of accountability.
• Goal oriented with proven success in a performance-based culture.
What We Offer:
• Robust health insurance including individual and family Medical, Dental and Vision.
• Relax and recharge with Paid Time Off (PTO) Program; plus 10 paid holidays.
• Financial health with 401(k) programs and employer match up to 3% for the first 6% contributed.
• Take care of your emotional, physical, and financial wellbeing with access to EAP.
• We invest in your future through ongoing learning and development resources.
• Save on taxes with Flexible Spending or Health Savings Accounts.
• Peace of mind with Life and AD&D Insurance.
• Discounts for shopping at various retailers.
Salary to commensurate with experience, plus a 10% annual discretionary bonus.
• Please send your CV along with compensation expectations to: email@example.com
Published by Conselium Executive Search, the global leader in compliance search.