- Review new issues entered in Archer to ensure all fields are entered completely and accurately, assess whether there is any compliance impact to the issue, and assign an applicable law, rule or regulation to the issue. Collaborate as needed with Internal Audit, Compliance Advisors, Fair Banking, Flood Manager, Complaint Management Oversight Manager, etc. to ensure issues marked as impacting Compliance are agreed upon.
- Monitor the status of action plans and conduct outreach to Compliance leadership and Issue Owners to ensure timely remediation and validation of action plans
- Perform testing on completed remediation plans to validate that the actions taken by the business completely and accurately remediate the issue and its root cause, document the test steps performed, and establish pass/fail criteria
- Compile metrics on the status of compliance issues across the Enterprise to be reported to Compliance leadership, applicable committees and regulators
- Perform QA on closed issues in Archer to verify completeness and accuracy of details and supporting documentation related to remediation plans and subsequent validation
- Communicate results of QA to the Compliance Manager - Issues Management and assist with corrective actions and communicating feedback to the Issue Owner or Validator
- Communicate guidance and any material changes on the Issue Management process to Compliance leadership
- Maintain Issue Management tools such as the New Issue Template and Issue Closure Form
- Review Issue Management procedures and document necessary changes in the team's processes or controls
- Assess current systems, processes and controls for enhancement opportunities
- Stay apprised of changes in the regulatory landscape and the bank's operating model to assess any impact to the Enterprise Compliance Issue Management program
- Manage assigned special projects
- Complete all required compliance training timely
- Maintain compliance with applicable federal, state and local laws and regulations
- Maintain knowledge of and adhere to all applicable internal compliance policies and procedures and other internal policies and procedures applicable to role
- Stay informed of changing regulatory requirements and the firm's business model that might impact the firm's compliance framework and Compliance Issue Management
- 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 Compliance, Business Administration, Finance, Accounting, Law, or related field, or equivalent work experience.
- 3+ years of experience in a financial services institution, auditing firm, or consulting firm with a regulatory compliance focus.
- 3+ years Regulatory Compliance or Internal Audit experience.
- Bank compliance/risk operations experience and/or mortgage origination/servicing, retail banking, commercial banking, private banking, wealth management, etc.
- Prior experience with Archer preferred.
- Functional knowledge of consumer protection laws and regulations impacting financial institutions.
- Excellent organization and communication skills.
- Ability to partner effectively across the organization and develop positive working relationships.
- Ability to prioritize assignments and handle multiple projects simultaneously.
- Ability to work both independently and in a team-oriented environment.
- Physical demands (ADA): No unusual physical exertion is involved.
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Compliance Testing Specialist - Hicksville, United States - Flagstar Bank
Description
Position TitleCompliance Testing Specialist - Issue Management
Location
NY / 1400 Broadway Floor 07
Job Summary
The Compliance Testing Specialist - Issue Management will perform day to day tasks related to the administration of the Enterprise Compliance Issue Management program.
This role will support the Compliance Manager - Issue Management to ensure issues identified across all business lines of the bank are entered into Archer timely with accurate and sufficient detail, reviewed for any compliance impact, monitored for the timely remediation of action plans and validation of issues, reported on to apprise management of status of issues and trends, and perform Quality Assurance (QA) on closed issues in Archer.
Pay Range:
$64, $83, $122,923.07
Pay Range:
Local Minimum Wage - $0.00 - $0.00
Job Responsibilities:
ADDITIONAL ACCOUNTABILITIES
Required Qualifications:
Preferred Qualifications:
Job Competencies:
