- Review regulatory complaint responses and investigations to ensure comprehensive reviews and documentation is received.
- Draft responses to the regulators and escalate potential issues in a timely manner.
- Oversee the intake, logging, and investigation of regulatory complaints, ensuring timely and accurate resolution. Reviewing staff member's responses and investigations and providing feedback as needed.
- Coordinate with Fintech Partners and internal teams, including Compliance, Legal, Risk, and the Business units to gather information and address potential concerns or issues to address the complaints.
- Develop and maintain a complaint and call monitoring oversight program of the Bank's Fintech Partners to ensure timely submissions and escalating when reporting is delinquent.
- Ensure all complaints are investigated in compliance with relevant law, rule or regulation, including but not limited to those of the FDIC, NJDOBI, CFPB, and Law enforcement
- Develop and maintain a comprehensive complaint management system, including policies, and procedures, to ensure consistency and compliance.
- Monitor trends in complaints and identify areas for process improvement to reduce future regulatory risks.
- Act as the primary point of contact for regulatory agencies during complaint investigations.
- Train and support staff in complaint handling, complaint monitoring, call monitoring, and regulatory compliance.
- Provide reporting on complaint trends, key issues, and resolution outcomes to keep senior management and the Board informed of the Bank's regulatory compliance status.
- Provide management with recommendations on areas for improvement.
- 5+ years relevant experience in a federally or state chartered financial institution, credit union, or market intermediary (e.g. broker-dealer or futures commission merchant).
- JD preferred.
- Strong knowledge of federal banking and consumer protection laws, rules and regulations, as well as industry best practices.
- Able to perform regulatory research and history of proactively identifying compliance risk and proposing potential solutions.
- Typically works independently but recognizes need to discuss unusual or complex issues with management.
- Strong knowledge of operational processes and technologies utilized in banking, including deposit account handling, loan servicing and collection, and payment processing.
- Proven track record showing ability to maintain high attention to detail while managing multiple assignments and competing priorities.
- Ability to develop and mentor relationships for junior team members and provide cross-training.
- Excellent communication skills with the ability to articulate complex problems and solutions through concise and clear messaging, both written and verbal.
- Strong interest in technology and innovation. Prior fintech experience a plus.
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Compliance Manager - Fort Lee, United States - Cross River
Description
Who We AreCross River is a highly profitable, fast-growing financial technology company powering the future of financial services.
Our comprehensive suite of innovative and scalable embedded payments, cards, and lending products deliver financial services for millions of businesses and consumers around the globe.
Cross River is backed by leading investors and serves the world's most essential fintech and technology companies. Together with its partners, Cross River is reshaping global finance and financial inclusion.We are on a mission to build the infrastructure that propels access, inclusion, and the democratization of financial services.
While our company has tripled in size over the last three years, our strong sense of purpose led Cross River to be named to American Banker's list of Best Places to Work in Fintech for the last 6 years.
The reason for this success is simple - our nimble and collaborative family culture lives in every member of our growing team.
Together we are at the forefront of technology and innovation, and we invite passionate, collaborative, and motivated high performers to join our expanding team.
What We're Looking For
The role is responsible for the development and maintenance of the Bank's Regulatory Complaints process and monitoring and tracking of complaints and escalations from the Bank's Fintech This role will be responsible for managing the three areas of monitoring and assessing compliance risks and controls implemented by the first line of defense or Fintech Partners.
The role will be reporting and escalating control issues, breaches of policy, validating adequacy of remediation taken to address, and coordinating responses directly back to the Bank's regulators.
This role requires a thorough understanding of banking regulations, strong analytical skills, and the ability to interact with regulatory agencies.
The ideal candidate is proactive, detail oriented, and possesses excellent communication skills.Responsibilities:
Qualifications:
Salary Range:
$155, $165,000.00
Cross River is an Equal Opportunity Employer.
Cross River does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law.
All employment is decided on the basis of qualifications, merit, and business need.
By submitting your application, you give Cross River permission to email, call, or text you using the contact details provided.
