Compliance Officer--Program Management (Marketing and Governance)
About The Position
The Compliance Officer is part of Wintrust’s Compliance Program Management team, which oversees regulatory change management processes for Consumer Compliance. The role supports monitoring and documenting regulatory changes from sources including enterprise and mortgage marketing, charter banks, ancillary business lines, regulatory agencies, and Third-Party Risk Management. The position reviews mortgage and non-product advertising for compliance with federal and state requirements, routes compliance review requests, and supports the compliance change control and regulatory change management processes. It also helps assess compliance risk within the Third-Party Risk Management Program and contributes to other compliance projects, including risk assessments, reporting, and exam management.
Requirements
- Bachelor’s degree.
- At least 5 years of experience related to financial services compliance and/or knowledge of mortgage, Third-Party Risk Management, and regulatory change management.
- Organizational skills and attention to detail.
- Strong analytical skills and ability to apply regulations to advertising and operational processes.
- Strong writing and presentation skills, with the ability to communicate to a variety of consumers and audiences.
- Ability to understand business needs and provide alternative solutions when appropriate.
Nice To Haves
- Knowledge of mortgage and Third-Party Risk Management is strongly preferred.
Responsibilities
- Review mortgage advertising and marketing materials for compliance with federal and state advertising laws and regulations, meeting timing expectations. Materials include email journeys, product-related emails and flyers, websites, and individual loan officer marketing.
- Review non-product-specific advertising materials for compliance with federal and state advertising laws and regulations, meet timing expectations, and ensure approval from appropriate stakeholders and subject matter experts.
- Support subject matter experts and other business lines by routing compliance review requests in the system of record and ensuring approval by appropriate parties.
- Assist the AVP Regulatory Change Management with oversight and reporting for the compliance change control process, and recommend improvements to make reviews effective and efficient.
- Collaborate with different areas of Compliance and present one consolidated message to business lines.
- Assist with monitoring and documenting changes in regulations, enforcement actions, guidance, and other regulatory publications, including impact analysis, stakeholder communication, and regular reporting to governance committees.
- Assist with evaluating compliance risk as part of the Third-Party Risk Management Program, including initial risk and risk during ongoing vendor relationship monitoring.
- Assist with other Compliance Program Management projects as needed, including risk assessments, reporting, and exam management.
Benefits
- Medical insurance
- Dental insurance
- Vision insurance
- Life insurance
- Accidental death and dismemberment insurance
- Short-term and long-term disability insurance
- Parental leave
- Employee Assistance Program
- Traditional and Roth 401(k) with company match
- Flexible Spending Account
- Employee Stock Purchase Plan at 5% discount
- Critical Illness Insurance
- Accident Insurance
- Transportation and commuting benefits
- Banking benefits
- Pet insurance
- Tuition reimbursement
- Competitive pay and discretionary or incentive bonus eligibility
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
