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SVP Regulatory Compliance Operations Director - In person

Company: Infinity Consulting Solutions
Location: Richardson
Posted on: September 23, 2022

Job Description:

SVP Regulatory Compliance Operations Director

Brief Overview of Position

The SVP Regulatory Compliance Operations Director will help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. This role is responsible for designing and executing complex risk-based compliance evaluations for the purpose of independently validating business line adherence to applicable laws and regulations.


* Responsible for Enterprise Compliance risk assessment (methodology, execution, and results).

* Responsible for Enterprise Compliance inventory (regulations and product mapping matrix).

* Ability to manage and execute multiple complex projects within required timelines.

* Responsible for Enterprise GRC tool Compliance modules.

* Responsible for Compliance issues management to ensure timely identification, adequate remediation, and escalations when necessary.

* Responsible for Enterprise Compliance training (content creation and delivery).

* Responsible for Enterprise Compliance Charters, Policy, and Procedures (content creation, updates, approvals, and publishing).

* Responsible for Enterprise Customer Complaints (including tracking of complaints received through the regulator portal, and investigating the complaints, in partnership with 1LOD for a timely response).

* Responsible for Enterprise Compliance Third Party Risk Management (creating and implementing a program for Compliance risk mitigation; including third party initial due-diligence, on-going tracking, reporting and escalations when necessary).

* Responsible for Enterprise Compliance Committee/Board Reporting (includes content for FDIC, TDOB and CFPB quarterly updates).

* Responsible for Audits and Regulatory Exam management (compliance content).

* Responsible for compliance review of all disclosures, social media, and marketing content.

* Ability to actively participate in process improvement, automation, and systems vs. process alignment.

* Strong ability to assist with data forecasting and modeling

* Strong ability to assist with automation of regulatory reporting

* Maintain strong external network and market presence through active community leadership.

* Manage expenses and resources to budgets.

* Strong ability to recruit and retain talent.

* Demonstrated conceptual thinking and analytical skills.

* Proven ability to partner effectively across all levels of the organization and develop positive working relationships.


* Bachelor's degree in Finance, Accounting or Business; or equivalent years of experience (required)

* Master's degree in finance, Accounting or Business; or equivalent years of experience (preferred)

* Certified Regulatory Compliance Manager Certification (CRCM) (required)

* 10+ years of experience in a large financial institution (required)

* 7+ years of experience in banking compliance (required)

* 5+ years of managerial experience in a financial institution setting (required)

* Working knowledge of consumer protection laws and regulations impacting financial institutions (required)

* High degree of integrity and strong work ethics

* Excellent verbal and writing skills

Keywords: Infinity Consulting Solutions, Richardson , SVP Regulatory Compliance Operations Director - In person, Executive , Richardson, Texas

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