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    Compliance Officers - Troy, MI, United States - Flagstar Bank

    Flagstar Bank
    Flagstar Bank Troy, MI, United States

    3 weeks ago

    Flagstar Bank background
    Description

    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.

    This visible role will work independently with business unit (BU) risk partners to support the CMP.

    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. 84, , ,048.77

    Responsibility for Compliance Management Oversight Program

    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.

    ADDITIONAL ACCOUNTABILITIES
    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.

    JOB REQUIREMENTS

    Required Qualifications:

    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.


    Preferred Qualifications:
    ~ CRCM certification preferred.


    Job Competencies:
    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.
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