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Lead Consumer and Regulatory Compliance Risk Assessment

  • Location: New York, NY
  • Job Type: Contract
  • Ref No: 20-03866
  • Date: September 22, 2020
  • Job title:

Job Description - Lead Consumer and Regulatory Compliance Risk Assessment

Lead Consumer and Regulatory Compliance Risk Assessment 

Job Description:

-          Continuously review and create, where necessary, internal reports to support the monitoring of risks identified in the Consumer Compliance Management Program ("CCMP") for individual business lines, products and services

-          Lead Consumer and Regulatory Compliance Risk Assessment

-          Be aware of relevant state and federal consumer laws and regulation changes, including changes to guidance and interpretations and assist the Head of Compliance Testing to update/change internal monitoring test plans accordingly

-          Prepare monthly analyses of all required monitoring reports for the Chief Compliance Officer and, where relevant, suggest enhancements and/or changes to increase knowledge of the risk being monitored

-          Assist Consumer Compliance Officer with monitoring and reviewing marketing programs and disclosures

-          Assist with conducting branch compliance assessments with regard to applicable consumer protection laws and regulations, including ensuring all relevant documentation and work product is maintained appropriately, and report such findings to the CCO, the Consumer Compliance Officer, Senior Branch Administration, and track required remediation

-          Assist with monitoring, tracking and responding to both internal audit and regulatory examinations and findings

-          Assist monitoring and tracking of consumer complaints and creating relevant metrics related thereto

-          Participate in regular continuing education to stay abreast of new laws, regulations and regulatory focus to enhance job performance

-          Attend Consumer Compliance Committee meetings as requested

-          Participate in management meetings as requested by the CCO to address consumer compliance issues 

Job Requirement:

 

-          Bachelor's degree is required; advanced degree is preferred

-          Major in business related field is required

-          Minimum 5 years' relevant experience with consumer compliance protection laws and regulations is required

-          CRCM or other industry designation is preferred but not required

-          Retail banking experience is preferred but not required

-          Strong verbal and written skills are required

-          Knowledge of Excel is required

 




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