- Perform QA continuous monitoring of regulatory compliance through the data driven compliance reporting processes.
- Review marketing campaigns, disclosures, recent products, and general regulatory questions.
- Evaluate process maps, procedures, policies, and management directives for accuracy and completeness.
- Prepares written report for Department Manager detailing observations and recommendations for corrections.
- Works with affected business units to accomplish remediation and appropriate training as required.
- Supports Bank's efforts on all corporate compliance audits and Agency compliance examinations, including advance preparation. Leads applicable target reviews.
- Should be able to handle client relationships to ensure smooth delivery.
- Should possess operations skills to support client in a range high volume compliance tasks.
- Possess strong knowledge of documentation, SOPs, and process workflows.
- Communicate extensively over the phone to onshore partner to escalate/resolve issues.