Role & responsibilities
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 robust knowledge of documentation, SOPs, and process workflows.
Communicate extensively over the phone to onshore partner to escalate/resolve issues.
Adherence to controls and compliance standards.