- Manage the applicable Compliance Advisors and Analysts for assigned areas of responsibility to ensure that they:
- Maintain expertise on complaint management oversight and stay abreast of changes by regulatory agencies and industry best practices
- Maintain expertise on complaint management related processes, procedures, controls
- Maintain a broad knowledge of regulatory requirements related to deposit operations, mortgage originations, commercial and consumer lending and/or servicing operations to assist in root cause analysis and issue identification based on complaints;
- Establish and maintain close working relationships with assigned risk partners including by regularly participating in business unit meetings and fostering a professional and collaborative relationship;
- Act as gatekeeper for assigned areas providing timely advice, counsel and recommendations to Flagstar business units both in response to inquiries received and proactively providing information and guidance.
- Assists in developing training and testing schedules
- Periodically reviews policies and procedures (especially changes) to ensure they meet regulatory requirements
- Advise Compliance management and bank personnel of emerging issues as well as providing recommendations regarding the establishment of controls to mitigate.
- Drive the execution of compliance related corrective action plans applicable to assigned business unit(s) by working with appropriate business units.
- Create and build reporting to track KRIs, complaint management metrics, violations of law, issues, root cause analysis
- Maintain solid knowledge of and adhere to Flagstar's internal compliance policies and procedures.
- Maintain the Complaint Management policy and oversight programs
- Monitor and review policies, procedures, forms and agreements in areas of assigned responsibilities to ensure regulatory compliance with applicable laws, rules and regulations and ensure compliance with bank policies and procedures.
- Provide subject matter support to the policy, procedure, training and regulatory change processes as directed.
- Maintain Compliance department procedures as assigned and ensure they are accurate and effective
- Perform all responsibilities within the guidelines of Flagstar policies and directives at or above Flagstar performance and evaluation standards
- Provide subject matter expertise in Vendor Due Diligence and periodic vendor oversight activities, as assigned
- Act as onsite liaison for internal audits relating to assigned compliance matters.
- Support the compliance risk assessment processes.
- Actively participate in managing Compliance project management initiatives.
- Identify and define key compliance risk indicators (KRIs) for complaint management and lead efforts to monitor and manage KRIs.
- Provide timely, regular and effective reporting to the Compliance department, management and board, as appropriate regarding complaint management
- Perform other duties and special projects as assigned.
- Complete all required training and help ensure team completes training.
- Share with team and maintain knowledge of and adhere to, Flagstar's internal compliance policies and procedures.
- Responsible for talent management functions including: employment, performance evaluations, staff development/training, disciplinary actions, succession planning and ensuring all staff comply with compliance requirements.
- 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) or comparable work experience
- Minimum experience required: 10+ Years regulatory compliance experience specifically in a financial institution
- 5+years managerial experience in a financial institution.
- Certified Regulatory Compliance Manager (CRCM), Certified Risk Professional (CRP) and/or Certified Internal Auditor (CIA) desirable
- Solid understanding of laws and regulations impacting financial institutions.
- Able to manage and execute multiple complex projects within required timelines and expectations required.
- Demonstrated conceptual thinking and analytical skills.
- Excellent communication skills required; including reports, presentations, group facilitation skills
- Proven ability to partner effectively across all levels of the organization and develop positive working relationships
- Ability to develop and maintain professional relationships and networking skills.
- Ability to work independently in continuously changing environment.
- Ability to manage and mentor staff.
- Inquisitive nature, resourceful, and ability to seek out information and develop sound conclusions and strategies.
- Physical demands (ADA): No unusual physical exertion is involved.
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Compliance Manager - Troy, MI, United States - Flagstar Bank
Description
Enterprise Compliance has many responsibilities related to managing the bank's risk to ensure adherence with compliance requirements. One of the main responsibilities is to provide continued leadership and implementation of an enterprise wide compliance culture by supporting and enforcing the Bank's established Compliance Management Program to ensure compliance with all applicable State and Federal laws, rules and regulations, along with other requirements the bank may from time to time be required to comply with. This role manages the Compliance Advisors and Analysts for Complaint Management Oversight while working with risk partners located throughout the bank to support the Compliance Management Program. The manager will ensure that the Compliance Advisors and Analysts perform to the standards set by executive management, are actively involved with the business units, and are providing value, including as described in greater detail below. This position will serve a vital role in the Flagstar Enterprise Compliance Department and will be an integral part of the company's overall risk strategy. Pay Range: $99, $132, $164,557.30ADDITIONAL ACCOUNTABILITIES
Required Qualifications:
Preferred Qualifications:
Job Competencies:
