Compliance Specialist II, Assistant Vice President
The Compliance Specialist II is responsible for providing guidance and direction with respect to compliance with laws and regulations with direction and/or input from management. This includes ongoing guidance as well as assisting with the managing of implementation processes. This position will also assist in detecting, assessing, and responding to emerging risks.
- Interprets and makes recommendations of new or revised regulatory requirements in support of Compliance Management System (CMS) requirements.
- Develop a solid understanding of the new/revised regulation.
- Work collaboratively with the Line of Business and Compliance to understand current practices.
- Makes recommendations and collaborates to execute any required changes in support of CMS requirements.
- Performs analysis in managing risks in existing operations resulting from industry lawsuits, settlements, etc. associated with regulatory violations.
- Work collaboratively with Retail lines of business to understand current practices.
- Collaborate with others for required changes to business activities.
- Participate meetings and addressing questions, regarding regulatory requirements in specific fact-based scenarios.
- Collaborate with the Line of Business and Compliance.
- Collaborate with Senior Compliance Manager on senior management compliance reporting.
- Oversight of periodic self-monitoring or testing to determine whether policies and procedures are being followed.
- Develop and review role-based training materials and training tools as needed.
- In partnership with the Line of Business and Compliance make recommendations and review of customer facing documents.
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