- Maintain expertise on complaint management guidance, exam procedures, etc., and stay abreast of changes by regulatory agencies and industry best practices.
- Maintain expertise on complaint management related processes, procedures, controls of all business units impacted by complaint management.
- Design and maintain the Bank's complaint management policy, procedures and program documents.
- Standardize complaint processes and tools across business units where it makes sense to do so.
- Partner with the Customer Engagement Team to ensure proper oversight of the enterprise complaint management program.
- Provide advice, counsel and recommendations using independent and sound judgment to BUs on consumer compliance questions/issues related to complaint management.
- Promote culture of compliance related to complaint management throughout the Bank.
- Build strong partnerships across the organization and provide advice on all matters involving complaint management.
- Provide periodic updates for CMP reporting.
- Periodically review Business Units' policies, procedures, disclosures, and customer letters related to complaint management (especially when they are revised) to ensure they meet regulatory requirements.
- With assistance from other Compliance Advisors, engage in risk assessment of complaint management related controls.
- Work with the Compliance Assurance Testing team to ensure appropriate complaint management testing.
- Conduct periodic reviews in accordance with the Complaint Management Oversight Program.
- Review all escalated complaints for any potential regulatory compliance issues and/or control gaps and work with the Compliance Advisors to challenge BU responses and identify control gaps or breaks.
- With assistance from other Compliance Advisors, review vendors for any complaint related issues, and ensure business units have proper oversight of the vendor to ensure the vendor's compliance with complaints.
- Proactively identify process and/or control gaps and document issues and action plans to close as needed.
- Complete all required compliance training.
- Maintain knowledge of, and adhere to, Flagstar's internal compliance policies and procedures.
- Maintain Regulatory Compliance department procedures as assigned.
- Maintain knowledge of changing consumer compliance regulations.
- Ensure compliance with applicable federal, state and local laws and regulations.
- Perform other duties and special projects as assigned.
- Performs special projects, and additional duties and responsibilities as required.
- Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. Accountable to maintain compliance with applicable federal, state and local laws and regulations.
- Education level required: Undergraduate Degree (4 years or equivalent) in Business Administration, Finance, Accounting, Law, or related equivalent experience.
- Seven years of experience in a financial institution, auditing firm, or consulting firm with a regulatory compliance focus and abilities to exercise independent judgment in decision making and advice.
- Subject matter expertise gained through Regulatory Compliance, Risk, Internal Audit, Legal or equivalent business experience.
- Comprehensive mortgage and banking expertise and demonstrated subject matter expertise in complaint management.
- CRCM certification preferred.
- Knowledge of consumer protection laws and regulations impacting financial institutions.
- Demonstrated subject matter expertise in the assigned mortgage servicing processes.
- Advanced PC systems skills including proficiency with Microsoft Word, Excel, PowerPoint and other reporting systems.
- Excellent communication skills, including report writing, oral presentations, group facilitation skills, etc.
- Demonstrated conceptual thinking and analytical skills.
- Proven ability to partner effectively across all levels of the organization.
- Ability to manage and execute multiple complex projects within required timelines and expectations.
- Ability to conduct compliance assessments and produce quality results.
- Ability to work independently in a continuously changing environment.
- Inquisitive, resourceful, and able to seek out information and develop sound conclusions and strategies.
- Ability to develop and maintain professional relationships.
- Physical demands (ADA): No unusual physical exertion is involved.
-
Compliance Advisor
2 weeks ago
New York Community Bank Hicksville, United States Full timeJob Summary · Regulatory Compliance is responsible for developing and maintaining a Compliance Management Program for the Bank that reasonably ensures compliance with consumer protection laws and regulations, addresses associated risks of harm to consumers and customers, and inte ...
-
Compliance Advisor
1 week ago
Flagstar Bank Hicksville, United StatesRegulatory Compliance is responsible for developing and maintaining a Compliance Management Program for the Bank that reasonably ensures compliance with consumer protection laws and regulations, addresses associated risks of harm to consumers and cus Compliance, Commercial, Lendi ...
-
Commercial Broker Dealer Compliance Advisor
1 week ago
Capital One Services, LLC Melville, United StatesCenter , United States of America, McLean, Virginia · Commercial Broker Dealer Compliance Advisor - Senior Manager · The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role willsupportthree institutional FIN ...
-
Vice President, ETF Advisor Compliance
4 weeks ago
BNY Mellon New York, United StatesBring your ideas. Make history. · BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or ...
-
Advisor, Compliance- Central Compliance
1 day ago
Santander US New York, United StatesAdvisor, Compliance · - Central Compliance · New York, United States of America · **Job Description Summary** · This Advisor, Compliance role is a key part of the Santander US CIB Central Compliance team and is responsible for executing the team's responsibilities in providing co ...
-
Société Générale New York, United StatesReference: · 24000E9H · Responsibilities: · Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and prac ...
-
Vice President, ETF Advisor Compliance
2 weeks ago
BNY Mellon New York, United StatesBring your ideas. Make history. · BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or ...
-
Advisor, HR Compliance
4 weeks ago
White & Case LLP New York, United States**Firm Summary** · White & Case is an elite global law firm serving leading companies, financial institutions and governments worldwide. Our long history as an international firm means we are perfectly placed to help our clients resolve their most complex legal challenges whereve ...
-
Manager - CFIUS Security Compliance Advisor
5 days ago
EisnerAmper New York, United StatesJob Description · At EisnerAmper, we look for individuals who welcome new ideas, encourage innovation, and are eager to make an impact. Whether you're starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one-of-a-kind. You ...
-
Société Générale New York, United StatesReference: · 24000E9H · Responsibilities: · Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (RIA) affiliates of Socit Gnrale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practic ...
-
Société Générale New York, United StatesReference: · 24000E9H · Responsibilities: · Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and prac ...
-
Associate Counsel
1 week ago
Grassi Jericho, United StatesWhy Grassi? · Our firm is consistently ranked by and the Best Places to Work group for our commitment to compensation, paid time off, work-life balance, culture and more. Some of the ways we accomplish this include: · Emphasizing our open-door policy through one-on-one training, ...
-
Compliance Testing Manager
1 week ago
Flagstar Bank Hicksville, United StatesPosition Title · Compliance Testing Manager - Monitoring & Reporting · Location · NYCB Plaza -102 (Hicksville, NY) · Job Summary · The Compliance Monitoring and Reporting Manager assists the Sr. Manager of Enterprise Compliance Monitoring and Reporting in implementing and maintai ...
-
Regulatory Program Manager Senior
3 weeks ago
Flagstar Bank Hicksville, NY, United StatesThe Senior Regulatory Program Manager is responsible for a multitude of multi-year projects and programs leading mandatory and strategic regulatory change supporting multiple lines of business. Support the achievement of regulatory goals including the development and management o ...
-
Assistant Service Manager, Plainview
12 hours ago
Lucid Motors Oyster Bay, United StatesThe Assistant Service Manager will be responsible for assisting the service manager in the day-to-day operations of the Lucid Service Center, effectively managing team of advisors, technicians, service assistants and parts staff. The ideal candidate will demonstrate leadership wi ...
-
Financial Analyst
1 week ago
PEAR Core Solutions Jericho, United StatesOpal Wealth Advisors, located in Jericho Long Island (NY) is a registered investment advisor (RIA) dedicated to helping their clients create and use wealth to accomplish their financial goals. · Opal Wealth is currently looking to add a Financial Analyst to their team of wealth ...
-
Financial Analyst
3 weeks ago
PEAR Core Solutions Jericho, United StatesOpal Wealth Advisors, located in Jericho Long Island (NY) is a registered investment advisor (RIA) dedicated to helping their clients create and use wealth to accomplish their financial goals. · Opal Wealth is currently looking to add a Financial Analyst to their team of wealth m ...
-
Client Associate/Registered Client Associate
1 week ago
Royal Bank of Canada Jericho, United StatesJob Summary · Job Description · What is the opportunity? · Embrace RBC Wealth Management's core values and inclusive culture as an integral part of our branch serving financial advisors and our clients. As a Client Associate/Registered Client Associate, become a trusted resource ...
-
Société Générale Securities Services New York, NY, United StatesResponsibilitiesResponsibilities include, but are not limited to:Oversee the Compliance Program for the fixed income and structured finance activities, including but not limited to the following: Fixed Income (including Rates, Credit, Repo markets, Foreign Exchange), & Securitize ...
-
Managing Director Bank Ops First Line Risk
1 week ago
Webster Bank Jericho, United StatesIf you're looking for a meaningful career, you'll find it here at Webster. Founded in 1935, our focus has always been to put people first--doing whatever we can to help individuals, families, businesses and our colleagues achieve their financial goals. As a leading commercial ban ...
Sr. Compliance Advisor - Hicksville, United States - Flagstar Bank
Description
Position TitleSr. Compliance Advisor - Complaint Management Oversight - Troy, MI or Hicksville, NY
Location
Headquarters-Troy, MI
Job Summary
Regulatory Compliance is responsible for developing and maintaining a Compliance Management Program (CMP) for the Bank that reasonably ensures compliance with consumer protection laws and regulations, addresses associated risks of harm to consumers and customers, and integrates consumer compliance into the day-to-day responsibilities of its management and employees.
The Senior Compliance Advisor for Complaint Management Oversight is the Bank's subject matter expert on complaint management and provides 2nd line of defense oversight of all business unit processes impacted by complaint management guidance.
The Senior Compliance Advisor - Complaint Management Oversight is responsible for: (1) designing and maintaining the Bank's Complaint Management Oversight Program which meets regulatory requirements; (2) advising business units on complaint management control designs and identifying and addressing any process and/or control deficiencies; and (3) reporting to executive management and applicable committees on the progress and status of Complaint Management Oversight Program related objectives and initiatives.
This position will serve a vital role in the Regulatory Compliance Department and is critical to the CMP.Job Responsibilities:
Responsibility for Compliance Management Oversight Program
ADDITIONAL ACCOUNTABILITIES
JOB REQUIREMENTS
Required Qualifications:
Preferred Qualifications:
Job Competencies: