Compliance Manager, Licensing & Regulatory Complaints, Finance Company, Remote
Company: Conselium Executive Search
Posted on: November 19, 2022
Compliance Manager, Licensing & Regulatory Complaints, Finance
Company, RemoteThe ideal candidate is an experienced compliance
professional who has a proven track record of (1) managing and
facilitating a company's state licensing obligations including
renewals, exams, and communications with the state regulators and
is experienced using NMLS; and (2) managing, investigating, and
responding to regulatory complaints for a financial institution or
a consumer finance company. You will often interact with employees
in other departments, our clients, state regulators, third parties,
and consumers.Full-time onsite in Vista, CA or
remote.Responsibilities and Duties:
As our Compliance Manager, Licensing & Regulatory Complaints you
--- Manage and maintain the company's state licenses, respond to
exams, interact with examiners, and escalate issues that may impact
the status of a license.
--- Manage and optimize the regulatory consumer complaints process
including investigations, responses, and developing the team
currently performing this function.
--- Ensure complaints and inquiries from regulators are addressed
and resolved promptly and completely and communications are
accurate, concise, and tailored to the situation.
--- Identify complaints that raise legal issues involving potential
consumer harm or other regulatory compliance issues and ensure they
are properly escalated.
--- Identify and communicate opportunities to business line
management to drive adjustments to policies and procedures based on
the nature or number of substantive consumer complaints when
--- Conduct periodic assessments to ensure the regulatory
complaints program evolves with business growth and regulatory
--- Maintain a strong working knowledge of federal and state laws
and regulations applicable to our industry.Essential Functions:
The incumbent must meet work deadlines, have regular attendance,
excellent oral and written communication skills, strong
interpersonal skills, ability to work with a team, ability to
multi-task, use a PC and a computer terminal. If remote, the
incumbent's workspace must meet the company's minimum requirements
for remote work. If local, it requires access to all areas of the
office, and the ability to sit for extended periods of time,
periodically bending and twisting, and frequent application of a
negligible amount of force to lift, carry, push, pull, or otherwise
move objects. The incumbent must be able to perform the essential
functions of this position with or without reasonable
accommodation. The Company will provide reasonable accommodation
--- Bachelor's degree or equivalent experience
--- At least 5 years professional work in the financial services
industry in compliance, audit, or legal strongly preferred
--- Paralegal or CRCM certification, nice to have
--- Significant licensing experience is a must
--- Strong knowledge of consumer compliance laws and
--- Demonstrated track record of execution and results
--- Ability to problem solve based on strong analytical and
--- Excellent written and oral communication skills
--- Excellent decision making, time management, and problem-solving
--- Ability to effectively interact with all levels of an
--- Excellent organizational and prioritization skills.
--- Detail oriented.
--- Proficiency with computers and strong typing skills.
--- Ability to multi-task in a fast-paced environment and maintain
a high degree of accountability.
--- Goal oriented with proven success in a performance-based
culture.What We Offer:
--- Robust health insurance including individual and family
Medical, Dental and Vision.
--- Relax and recharge with Paid Time Off (PTO) Program; plus 10
--- Financial health with 401(k) programs and employer match up to
3% for the first 6% contributed.
--- Take care of your emotional, physical, and financial wellbeing
with access to EAP.
--- We invest in your future through ongoing learning and
--- Save on taxes with Flexible Spending or Health Savings
--- Peace of mind with Life and AD&D Insurance.
--- Discounts for shopping at various retailers.Compensation:
Salary to commensurate with experience, plus a 10% annual
discretionary bonus.Application Process:
--- Please send your CV along with compensation expectations to:
Keywords: Conselium Executive Search, Vista , Compliance Manager, Licensing & Regulatory Complaints, Finance Company, Remote, Executive , Vista, California
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