The Compliance Program Manager is responsible for the development, implementation, and management of compliance activities for consumer disclosures, complaint management, and document management. Utilizing a consultative approach, the Program Manager collaborates across business units to ensure adherence to regulations, policies, and procedures. The Program Manager works closely with assigned lines of businesses to assess compliance risks, design and approve materials, and provide regulatory support.
What you will do here:
Consumer Disclosures and Document Management: Ensure all member-facing materials, agreements, and communications comply with relevant regulations and guidelines. Collaborate with cross-functional teams to review and update disclosures as needed. Maintain document retention schedule and provide regulatory guidance to data governance activities.
Consultative Compliance Oversight: Collaborate with assigned lines of businesses to provide consultative guidance on compliance matters. Develop and maintain strong relationships with business units to ensure a thorough understanding of their operations and compliance needs.
Complaint Management: Establish and manage an effective complaint management process to address member concerns and regulatory requirements. Investigate and analyze consumer complaints, working closely with relevant departments to resolve issues and implement corrective actions. Maintain accurate records of complaints, resolutions, and any regulatory communication.
Project Support and Product Development: Provide compliance support for various projects and strategic initiatives, collaborating with project teams to integrate compliance considerations seamlessly. Collaborate with product development teams to ensure new products and service comply with applicable regulations.
Risk Assessment: Conduct comprehensive compliance risk assessments to identify and prioritize areas of potential risk. Develop strategies to mitigate compliance risks and ensure proactive risk management. Assess potential compliance risks associated with new products and provide strategic input to mitigate these risks.
Regulatory Adherence and Continuous Improvement: Monitor and assess compliance with applicable laws, regulations, policies, and procedures. Stay current with changes in regulatory requirements and industry best practices. Interpret and communicate regulatory requirements to relevant stakeholders. Identify opportunities for process improvements and implement best practices in compliance management. Drive a culture of continuous improvement within the organization.
Documentation and Reporting: Maintain accurate and up-to-date records of compliance activities, including risk assessments, findings, and remediation plans. Prepare and present regular reports for senior management on compliance status and initiatives.
Perform other job related duties as assigned.
What you will need:
Bachelor's degree in Business or related field; or equivalent combination of education and experience required.
4+ years of experience in Compliance Management required.
5+ years of Financial Institution experience required.
Strong understanding of regulatory requirements and industry standards required.
Strong communication, negotiation, and interpersonal skills required.
Detail-oriented with strong analytical and problem-solving abilities. required.
CUNA Credit Union Compliance Expert (CUCE) or NAFCU Certified Compliance Officer (NCCO) designation required.
We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.
For additional information about our organization, careers, and benefits visit: http://www.desertfinancial.com/careers.