Experience
8 yrs required
Location
San Diego, CA, United States
Posted on
Sep 24, 2020
Profile
Diretor, Compliance
Responsibilities: Work closely with Legal and Risk department members, internal company offices and external stakeholders to create and execute a risk-based compliance program that identifies and mitigates company risk while implementing a project-based approach to further the compliance program with policy, process, education and training. Design, execute, and coordinate legal and regulatory driven guidance activities and materials to ensure that the company and its employees comply with all external industry laws and government regulations as well as internal policies. Provide expertise and guidance to cross-functional company leaders and project teams to identify, develop, and execute strategies, plans, and proposals to provide regulatory implementation support and guidance to the applicable stakeholders. Prepare and present concise compliance reports to senior management and the Board to inform and provide insights on potential compliance risks, monitoring results, regulatory changes, and their impact on business performance and reasonable assurance that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that the Company is complying with applicable regulatory and corporate requirements. Identify and review, with necessary organizational audiences, issues likely to impact industry and other stakeholder efforts to understand, implement, and comply with applicable regulations. Develop and implement a risk-based compliance roadmap with strategies, ideas, tools, and approaches that support communication and delivery of regulatory implementation and guidance information and promotes understanding, implementing, and complying with the applicable regulations. Develop Compliance Key Performance Indicators providing insight into policy effectiveness and organization-wide policy compliance. Use and provide subject matter and functional expertise in fintech industry laws and regulations (such as privacy and infosec), operations, systems, and regulatory frameworks to develop, prepare, and deliver substantive materials, training, presentations, and guidance on an independent basis training and educational materials that explain regulatory requirements or facilitate and implementation of and compliance with applicable regulations. Develop policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation. Conduct verbal and written Company-wide presentations, deliver or participate with others in codifying and communicating company’s key ethical principles, deliver regulatory training and education, provide oral and written guidance, and engage in other activities to communicate regulatory subject matter and guidance on implementing or applying applicable regulations in a clear, concise, understandable, and professional manner. Proactively monitor, assess, engage with, and collect, synthesize, and analyze information from industry representatives, governmental entities, institutions, consumer intermediaries, internal staff and other parties regarding the regulatory implementation needs and challenges of effected entities. Coordinate efforts related to audits, reviews, and examinations. Organize and execute internal investigations as well as independent investigations and act on matters related to compliance. Advise on appropriate responses and support mechanisms and develop and execute strategies and responses.
Company info
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