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Compliance Contractor   Licensing and Exam Management

  • Location: Mountain View, CA
  • Job Type: Contract
  • Ref No: 20-02368
  • Date: May 12, 2020
  • Job title:

Michael Ziegelbaum

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Job Description - Compliance Contractor   Licensing and Exam Management

Compliance Contractor – Licensing and Exam Management

Compliance Contractor will support all Small Business Administration licenses as well as the regulatory examinations and third-party audits related to such offerings. This role will report to the Head of Licensing and Exam Management on the Compliance team. We are looking for a proactive Compliance member to provide strong support for the licensing and examination program. The ideal candidate should have experience in managing Federal licenses, including reporting and interacting with agencies and examiners.

This company's products must continuously delight our customers, conform to Intuit policy and practices, and meet the regulatory requirements imposed upon brokering and lending activities by state and federal agencies. If you are passionate about innovation, solving tough customer challenges, and compliance as a strategic advantage, then come join our team!



Responsibilities:

• Licensing – assist in filing of licensing documents such as reporting and renewals.

o Coordinate with internal teams to provide required documentation for license renewals and reporting

o Facilitate payment of necessary licensing fees

o Organize and manage licensing documentation

• Exam Management – support management of regulatory examinations and third-party audits

o Compile requested documentation from internal stakeholders

o Review documents prior to delivery to regulators to ensure proper formatting

o Organize and manage examination documentation

o Update internal examination reporting

• Help drive the mindset that Compliance is a strategic advantage, enabling growth and customer delight



Qualifications

• Bachelor's Degree with 3-5 years professional experience

• 2+ years' experience in licensing and/or an in-house legal or compliance department

• Experience with regulatory federal examinations

• Experience with federal licensing, including Small Business Administration licenses, preferred.

• Familiarity with commercial or consumer lending, including applicable federal and state regulations, such as ECOA, FCRA, TILA, FDCPA, UDAP, GLBA/Privacy, OFAC and 3rd party vendor management preferred

• Proven experience working with cross-functional teams

• Excellent communication, interpersonal and writing skills

• Strong organizational skills and attention to detail

• Help drive the mindset that Compliance is a strategic advantage, enabling growth and customer delight

Required Skills:

GLBA, LENDING, OFAC, OPERATIONS, FCRA

Additional Skills: VENDOR MANAGEMENT, WRITING SKILLS, AUDIT,DOCUMENTATION, FILING

ORGANIZATIONAL SKILLS

Minimum Degree Required: Bachelor's Degree

 

 




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