- Maintain close contact with assigned BUs to keep apprised of objectives, strategy, new initiatives, emerging issues/risks; Stay abreast of BU processes and applicable consumer compliance laws and regulations; Provide advice, counsel and recommendations to BUs on consumer compliance questions/issues
- Periodically review policies and procedures (especially changes) to ensure they meet regulatory requirements
- Assist in developing and implementing action plans to comply with any new/revised consumer compliance laws and regulations
- Work with BU and Compliance Assurance Manager to develop BU annual testing plan
- Review new and existing vendors for potential compliance concerns
- prepare risk assessments
- Monitor various indicators of risk – KRIs, QC results, Compliance Testing results, ERM Issue Management Report, complaints, risk assessment results, etc. to identify weaknesses and assist in remediating
- Complete all required compliance training; maintain knowledge of Flagstar policies and procedures; maintain compliance policies and procedures
- 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 field, or equivalent work experience.
- Minimum experience required: 5+ Years of experience in a financial institution, auditing firm, or consulting firm with a regulatory compliance focus.
- Regulatory Compliance, Risk or Internal audit experience; bank operations experience in mortgage originations, mortgage servicing, community banking, etc. Knowledge of consumer protection laws and regulations impacting a financial institution.
- CRCM Preferred
- Advanced PC systems skills including proficiency with Microsoft Word, Excel, PowerPoint and other reporting systems.
- CRCM Preferred
- Ensures compliance with applicable federal, state and local laws and regulations. Completes all required compliance training. Maintains knowledge of and adhere to Flagstar's internal compliance policies and procedures. Takes responsibility to keep up to date with changing regulations and policies.
- Understands the importance or relationships to enable effective teamwork. Modifies personal style, focuses on the needs of others, and listens effectively to ensure effective outcomes for group endeavors. (Insert knowledge/skills/abilities required)
- Takes a dynamic approach to work characterized by initiating decisions and actions. Concentrates on achieving the outcomes of a process or project while adhering to the overall strategy of the organization. Creates a culture of accountability and performance.
- Demonstrates attributes of ethical behaviors, high personal standards, and sound work ethic all employers should expect of employees. Consistently treats others with respect and understanding. Responds in a timely manner to all customers and co-workers.
- Minimal Travel
- Physical demands (ADA): No unusual physical exertion is involved.
-
Advisor, HR Compliance
6 days 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 ...
-
Compliance Advisor
1 week ago
Array New York, United StatesJob Description · Job DescriptionArray is a financial innovation platform that helps digital brands, financial institutions, and fintechs get compelling consumer products to market faster. We deliver a suite of credit and identity monitoring tools, privacy protection, and a finan ...
-
Analyst, Compliance Advisor
3 weeks ago
Atlantic Group New York, NY, United StatesRole Overview – Legal & Compliance Analyst: · Join our client, a leading financial advisory firm serving high net worth individuals, families, and charitable institutions, as a Legal & Compliance Analyst. Reporting to the General Counsel and Chief Compliance Officer, you will pl ...
-
Vice President, ETF Advisor Compliance
1 week ago
BNY Mellon New York, NY, 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 ...
-
Vice President, ETF Advisor Compliance
6 days 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 ...
-
Vice President, ETF Advisor Compliance
1 week ago
THE BANK OF NEW YORK MELLON CORPORATION 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 ...
-
Compliance Advisor
1 week ago
Flagstar Bank Hicksville, United StatesPosition Title · Compliance Advisor - Commercial Lending · Location · NYCB Plaza -102 (Hicksville, NY) · Job Summary · Regulatory Compliance is responsible for developing and maintaining a Compliance Management Program for the Bank that reasonably ensures compliance with consumer ...
-
Compliance Advisor
2 weeks 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 ...
-
BNP Paribas New York, United StatesBusiness Overview: · We are conducting a search for an experienced Compliance Officer to cover the Equity Capital Markets ("ECM") business for BNP Paribas in the Americas. The ECM team operates out of New York and executes transactions in all industries / geographies. In addition ...
-
BNP Paribas New York, United StatesBusiness Overview: · We are conducting a search for an experienced Compliance Officer to cover the Equity Capital Markets (ECM) business for BNP Paribas in the Americas. The ECM team operates out of New York and executes transactions in all industries / geographies. In addition ...
-
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 ...
-
BNP Paribas New York, United StatesBusiness Overview: · We are conducting a search for an experienced Compliance Officer to cover the Equity Capital Markets ("ECM") business for BNP Paribas in the Americas. The ECM team operates out of New York and executes transactions in all industries / geographies. In addition ...
-
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 ...
-
Sr. Compliance Advisor
1 week ago
Flagstar Bank Hicksville, United StatesPosition Title · Sr. 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 rea ...
-
Compliance Officer
1 week ago
NYC Careers Manhattan, United States**Compliance Officer**: · - Apply**Compliance Officer**: · - Agency: OFFICE OF THE COMPTROLLER · - Posted on: 05/15/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · Asset Management · - Salary range: $125, $140, The Office ...
-
Administrative Assistant
2 weeks ago
Ameriprise Financial York, United States**Position title: Entry-level Administrative assistant** · Step into an instrumental role. Help conduct the smooth operation of a fast-paced—and friendly—financial planning office. Work as an employee of an independent advisor franchisee with a financial advisory practice of Amer ...
-
Controller
1 week ago
Rho Business Banking New York, United States**About Us** · Rho is on a mission to make finance frictionless for business. Our team and technology power high-performing companies with an end-to-end finance platform that seamlessly enables teams to safely conduct and manage company cash and spending across commercial-grade b ...
-
Marketing Specialist
1 week ago
Diamond State Financial Group Newark, United StatesThe Marketing Specialist is responsible for maintaining a cohesive marketing presence for Diamond State Financial Group. Responsibilities include managing the creation of corporate marketing materials and social media campaigns, maintaining our website, and working with the event ...
-
Associate General Counsel
2 weeks ago
Citi New York, United StatesCiti is seeking a highly motivated attorney to join its Legal Department as an Associate General Counsel - C15 in its Bank Regulatory Legal ("BRL") Group. In this role, this attorney will provide U.S. bank regulatory legal advice to Citi's businesses and control functions, includ ...
-
Automotive Service Advisor/writer/consultant/asm
2 weeks ago
Preferred Chevrolet Buick GMC Holland, United States**Average Earning Potential of $60,000 per year and more** · We're seeking a Service Advisor to join our Service Team. · If you have the drive to perform, exceed and excel as a SERVICE ADVISIOR then we want you to come work with us · **Service Advisor Benefits** · - Top brands to ...
Compliance Advisor - New York, United States - Flagstar Bank
Description
Position Title
Compliance AdvisorLocation
NY / 1400 Broadway Floor 07Job 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 integrates consumer compliance into the day-to-day responsibilities of its management and employees.This visible role works with business unit risk partners to support the Compliance Management Program.
The Compliance Advisor will maintain broad and deep knowledge of assigned business unit processes and the consumer protection laws and regulations that pertain to them, serve as the subject matter expert to the assigned business unit on consumer protection matters, and assist the business unit(s) in reasonably ensuring compliance with the applicable consumer protection laws and regulations.
This position will serve a vital role in the Regulatory Compliance Department and will be an integral part of the company's overall risk management strategy.Pay Range: $58, $83, $107,500.00
Job Responsibilities:
JOB REQUIREMENTS
Preferred Qualifications:
Job Competencies: