Manager, Compliance Advice & Guidance

Overview:

Reports to: Director, Consumer Compliance

Functions Supervised: Compliance Advice & Guidance, Complaint Management, Regulatory Change Management, Privacy, and Records Management.

Primary Functions: As part of the Second Line of Defense, the Manager, Compliance Advice & Guidance oversees enterprise Consumer Compliance programs, including Complaint Management, Regulatory Change Management, Privacy, Records Management, and Compliance Training. This role entails independently identifying and leading compliance initiatives within their designated area of responsibility. The individual in this position will establish and implement formal processes for providing compliance advice and guidance to ensure business partners and senior leadership are informed of consumer compliance risks impacting their business lines. Furthermore, this role supports the First Line of Defense by delivering expert compliance advice to ensure that the credit union’s products, processes, and services are designed to effectively mitigate consumer compliance risk. Duties and Responsibilities:* Oversee and continuously enhance the Complaint Management, Regulatory Change Management, Privacy, Records Management, and Compliance Training programs.

• Establish and maintain effective compliance advice and guidance processes for new or updated products, processes, services, and general consumer compliance questions.
  
• Conduct annual consumer compliance risk assessments as assigned.
  
• Oversee compliance projects and work with business lines and enterprise resource departments on consumer compliance initiatives and priorities.
  
• Interact with state and federal regulators in a positive, constructive, and organized manner.
  
• Provide leadership, coaching, employee training, conflict resolution, and day-to-day functional guidance to compliance staff.
  
• Prepare reports and conduct research for business partners, management committees, and senior leadership.
  
• Continuous evaluation and implementation of program and process improvements, including updates to the credit union�s GRC system as necessary.
  
• Maintain expert knowledge of consumer protection laws and regulations and ensure continuous understanding of the current regulatory landscape.
  

Qualifications:

Education: Bachelor's degree in business management, risk management, compliance management, or related field. Prefer professional certifications such as CRCM and/or CERP.

Creditable Experience in Lieu of Education: Four years of related experience (in addition to the minimum years of experience required) may be substituted in lieu of degree.

Experience/Skills: Minimum 8 years of experience (or minimum 6 years of experience with an advanced degree or designation in compliance risk management) supporting risk-related and/or compliance-related activities or business control design activities for large financial institutions subject to CFPB supervision. Knowledge of CFPB heightened expectations of large financial institutions. Expert knowledge of consumer financial protections laws such as ECOA, HMDA, Regulation E, FDCPA, Regulation P, FCRA, RESPA, Regulation Z, Regulation DD, and UDAAP. Excellent oral and written communication skills with the ability to tailor communication to audience at any level of the organization. Proficient in project management with the capability to handle multiple projects simultaneously in an effective and efficient manner. Ability to read, analyze and interpret the meaning of written information (i.e. legal documents, government regulations and professional publications) and apply it to existing processes to make timely informed decisions considering the relevant facts, goals, constraints, and risks. Ability to understand, analyze, and articulate business line data to support program initiatives. Proven track record of working well and influencing peers, as well as members of a senior management team. Flexible approach to new projects, requirements, and workplace demands. Proficiency in MS Word, Visio, Power Point, and Excel is required. Impeccable ethical reputation and strong emotional intelligence. Tenure: Not Applicable

Compensation:

Manager, Compliance Advice & Guidance (Category 05)

Salary Pay Range: $109,361 - $191,554 annually. Starting base salary will be determined based on candidate experience, qualifications, education, and local or state wage requirements, if applicable and will fall within the range provided above.

In accordance with our Salary Administration policy, new hire base salaries generally fall within the minimum to midpoint of the listed range.

Benefits:

• Short-term and long-term incentives
  
• Comprehensive medical, dental and vision insurance plan that has HSA and FSA options
  
• 401(k) plan with a 5% match
  
• Employee Assistance Program (EAP)
  
• Life and disability coverage
  
• Voluntary cash benefits for accident, hospitalization and critical illness
  
• Tuition Reimbursement
  
• Generous leave programs to include Paid Time Off accrual, Paid Sick Leave, Paid Holidays
  
• Click here to view Global�s comprehensive Benefits Programs
  

Equal Opportunity Employer