Senior Manager of Compliance
The Senior Manager of Compliance oversees a team of compliance professionals and joins the compliance team as a whole in promoting a comprehensive compliance management program that supports adherence to federal, state and local laws. Reporting to the Chief Legal Officer, the Senior Compliance Manager joins a team that works with our field, corporate personnel and outside vendors to resolve compliance issues and mitigate compliance risks, allowing our business to continue to grow and move forward toward innovation. Your knowledge of compliance practices at the federal, state, and local levels would allow you to have significant involvement with operational processes and software applications.
ESSENTIAL DUTIES & RESPONSIBILITIES
Support the Chief Legal Officer with compliance strategies, developing and maintaining methods to track compliance with policies and procedures, making recommendations for improvement, and supporting a comprehensive compliance management program.
Oversee state regulatory compliance by reviewing all state audits, responding in writing to all those that require follow-up, communicating with state regulators on any issues requiring follow-up, and maintaining a file of all regulatory communications.
Learn all aspects of various products and develop appropriate reports to track risk factors and institute risk mitigation policies and practices, working closely with Legal on other steps to enhance overall compliance.
Develop and maintain effective and positive working relationships with other department and team leadership, including in particular Product, Operations, and Internal Audit, to facilitate a partnership approach to compliance risk management.
Research and analyze various federal, state and local laws and regulations to determine potential impact on business processes and procedures and advise on best practices to implement to remain compliant with fast-paced regulatory expectations.
Perform basic risk assessments and root cause analyses and help prioritize, develop and implement corrective measures and compliance projects.
Participate in the Compliance role in the development of software applications for new build business specs, quality assurance, reporting, defect remediation, data dumps, static pool analysis, etc.
Collaborate with internal audit team in audit and review of corporate and business unit operating activities to ensure internal compliance controls are implemented where necessary and existing controls are functioning as required.
Support overall Legal/Compliance activities in developing creative solutions to business objectives to assist in driving business results that appropriately consider compliance.
Participate in other ad hoc projects and initiatives, including for litigation.
- Bachelor's Degree and additional compliance training.
- 5+ years of compliance, legal, and/or operations experience in a consumer finance-focused environment with proven management or leadership experience.
- Management experience.
- Significant prior experience in regulatory compliance, including state and federal audits.
- Very strong written and oral communication skills.
- Ability to successfully manage various compliance projects and programs from conception to successful implementation.
- Strong IT systems experience, including requirements building and quality assurance
LEARN MORE ABOUT US
The Senior Manager of Compliance is a member of the Legal & Compliance Team, a group of sharp, dedicated professionals providing guidance in interpreting the laws and regulations that govern our industry. To learn more, visit https://www.tmxfinancefamily.com/careers/top-talent/legal-compliance.
To find out what's going on in the Company, visit our blog at https://www.tmxfinancefamily.com/tmx-talks.
Standing, walking, sitting, repetitive movements, and use of mechanical controls, such as keyboard, are frequently required.
All TMX Finance® Family of Companies are Equal Opportunity Employers.