Sr Manager, Regulatory Compliance

Self. is looking for a motivated professional to lead and manage its regulatory compliance monitoring and testing program, compliance training program, and to take ownership of compliance policies, procedures, and related content. This will require a deep understanding of relevant consumer protection regulations and laws, and how to effectively provide advice and operationalize these requirements with the relevant products and services that Self offers, including but not limited to managing programs related to these laws.

What you will do:

Monitoring and Testing

• Develop an annual risk-based Compliance Monitoring and Testing Plan, designed to identify potential regulatory issues or other areas of improvement 
• Ensure individual tests performed by the compliance testing team are appropriately scoped, timely executed, and results are promptly reported to senior management
•  Assess, effectively challenge and provide oversight on the satisfactory resolution of issues identified by the compliance testing function, including ensuring adequate documentation and execution of remediation plans and validation
• Monitor developments and trends that may impact regulatory requirements
• Report testing results and trending to senior management
• Develop and maintain strong relationships with executives and senior management across products and processes

Compliance Training

• Lead the strategy of compliance learning curriculum, ensuring consistent and effective operation of compliance training programs
• Manage in the delivery, scheduling, recordkeeping, and metrics of compliance training, including annual mandatory annual compliance training
• Demonstrate the use of analytics to ensure overall training program effectiveness
• Lead the development and implementation of training policies, procedures, and standards.
• Work independently and collaboratively with cross-functional teams to support delivery and administration of training

Policies and Procedures

• Draft, revise, and maintain policies and procedures to facilitate compliance with applicable laws, regulations, and regulatory guidance

What you bring:

• 10+ years relevant work experience in Risk/Compliance in financial services industry, including at least 5 years of experience leading projects and managing teams
• Strong background in risk management, compliance, and testing 
• Understanding of the governing regulatory and industry standards that impact Regulatory Compliance Management Programs 
• High level of expertise in all applicable regulations and guidance which apply to the business group(s) supported
• Keen analytical skills and ability to proactively identify regulatory risk
• Ability to foster and maintain strong positive relationships with senior management and industry contacts to ensure up-to-date knowledge of product, regulatory, technological and other developments 
• Effective leadership capabilities, including expert communication, change management, sound judgment, relationship management, and negotiation skills
• Ability to build, motivate and lead a team attuned to enterprise culture and committed to contributing to ability of the business to meet its objectives
• Exceptional ability to manage multiple programs in a fast-paced environment with changing priorities and significant time pressures

Base salary range: $110,000- $162,000 annually.  Individual pay is based on factors unique to each candidate, including skill set, experience, and other job-related reasons.