Compliance Officer--Program Management (Marketing and Governance)
About The Position
This position 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 lines of business, regulatory agencies, and Third-Party Risk Management. The Compliance Officer reviews mortgage and non-product-specific advertising and marketing materials for compliance with federal and state advertising laws and regulations, routes compliance review requests to the appropriate subject matter experts and stakeholders, and supports the compliance change control process. The role also assists with regulatory change monitoring and impact analysis, Third-Party Risk Management compliance risk evaluations, governance reporting, risk assessments, and exam management. The estimated salary range is $85,000–$110,000; actual salary may vary based on qualifications, skills, and experience.
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, within timing expectations. This includes 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, within 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 through the system of record and ensuring approval by the appropriate parties.
- Assist the AVP Regulatory Change Management with oversight of the compliance change control process, reporting on the process, and recommendations to improve review effectiveness and efficiency.
- Collaborate with different areas of Compliance and present a 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 coverage
- Short-term and long-term disability insurance
- Parental leave
- Employee Assistance Program (EAP)
- Traditional and Roth 401(k) with company match
- Flexible Spending Account (FSA)
- 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 eligibility for discretionary or incentive bonus
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
