Compliance

• Completes Compliance Risk Assessments on third-party program managers and lines of business, including an evaluation of regulatory and operational control frameworks and identification of areas for improvements, in collaboration with the Director Enterprise Compliance
• Conducts Compliance Risk Assessments on third-party program managers and lines of business, including an assessment of applicable regulatory and operational requirements, evaluation of controls, and identification of areas of improvement, in accordance with the approved annual schedule
• Writes Risk Assessment reports summarizing the completed assessment, including scope, conclusions, and identified areas of improvement
• Presents Risk Assessment conclusions to internal and external parties with focus on identified areas of improvement, as necessary
• Assists with the creation of the annual Compliance Risk Assessment schedule
• Builds and maintains close working partnerships with internal and external stakeholders involved with the completion and issuance of Risk Assessments
• Participates in Compliance related meetings with management and others, as necessary
• Stays abreast of relevant consumer protection laws, regulations, and supervisory guidance applicable to the assigned business lines, including, but not limited to, consumer deposit and credit regulatory requirements (e.g., Regulation B, E, P, V, Z, CC, DD, UDAAP, E-SIGN, 1099 IRS rules, Military Lending Act, and Servicemembers Civil Relief Act)
• Assists with the management of Compliance related audits and examinations, including gathering relevant documentation, meeting with auditors/examiners to respond to questions, preparing management responses, and implementing actions recommended by auditors and examiners
• Performs other duties as assigned

AVP, Enterprise Compliance Risk Assessments

Compliance Analyst I

VP Enterprise Compliance