Director, Ethics & Compliance Program

Early Warning Services•New York City, NY

1d•$154,000 - $232,000•Hybrid

About The Position

At Early Warning, we’ve powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle®, Paze℠, and so much more. As a trusted name in payments, we partner with thousands of institutions to increase access to financial services and protect transactions for hundreds of millions of consumers and small businesses. Positions located in Scottsdale, San Francisco, Chicago, or New York follow a hybrid work model to allow for a more collaborative working environment. Candidates responding to this posting must independently possess the eligibility to work in the United States, for any employer, at the date of hire. This position is ineligible for employment Visa sponsorship. Overall Purpose This position leads, builds and manages required Compliance and Privacy programs for domestic and/or global, in the second line of defense. This position is designed to ensure compliance with relevant laws and regulations mandated by a variety of regulatory bodies. Essential Functions Define, design, and lead a Compliance and Privacy Program, managing and developing teams while driving regulatory engagement, control design and mapping, risk assessments, policy management, education and awareness, complaint oversight, and ongoing program effectiveness to ensure sustained global compliance. Serve as the subject matter expert regarding laws, regulations, practices and policies applicable to the business enterprise, particularly relevant areas of responsibility. Educate internal stakeholders on differing international regulatory expectations and serve as a subject-matter expert for cross-border regulatory preparedness. Lead regulatory change management for Compliance including supporting the Legal Department in identifying and defining regulatory requirements and their applicability to the enterprise. Lead effort to identify, analyze and provide advice on emerging trends to mitigate compliance and legal risk for domestic and/or global jurisdictions to the Company. Exercises independent judgement and uses subject matter expertise regarding laws, regulations, practices and policies to provide compliance advice to the business enterprise. Lead compliance validation program where controls are tested to ensure compliance with law, regulation and policies, and effectiveness of programs, and to identify compliance gaps. Collaborate with the other teams to understand compliance issues, identify the root cause, and validate the remediation of control issues to mitigate risk to the company. Lead, design and execute metrics, analytics, and reporting to ensure leadership is making informed risk-based compliance-related decisions. Identify, draft, implement and oversee policies and procedures designed to ensure compliance, as necessary. Participate substantively in third party audits and assessments as necessary. Support consumer-related litigation efforts as requested by counsel. Manages a team of compliance resources by utilizing leadership qualities and acts as a resource to others. Support the company’s commitment to risk management and protecting the integrity and confidentiality of systems and data.

Requirements

Education and experience typically obtained through completion of a Bachelor’s degree.
Typically, 12 or more years of progressive experience in a similar role with a proven record of successful development and management of compliance management frameworks within the banking or financial services industry.
Proven ability to manage projects that span multi-jurisdictions and stakeholder groups, including global business units
Effective leadership skills as well as ability to work independently
Experience developing frameworks and processes to drive a risk-based approach, incorporating relevant regulations such as Reg E, GLBA, FCRA, UDAAP, FCPA, CCPA/CPRA, GDPR and other consumer and privacy related regulations into an enterprise compliance management process.
Experience with policy and control development as it relates to meeting compliance requirements from relevant regulations.
Experience managing programs that are responsive to regulations and guidance promulgated by entities such as the CFPB, OCC and FTC; experience interacting with regulators.
Highly organized, detail-oriented; excellent analytical skills.
Excellent oral and written communication skills and ability to influence and guide others.
Strong relationship building skills.
Proficient in Microsoft Excel and PowerPoint.
Background and drug screen.

Nice To Haves

CAMS Certification
3+ years of direct work with international regulatory bodies, multi-country operations, or global risk management initiatives.
CRCM, CCEP or other relevant certification
Privacy certifications such as CIPP/US, CIPP/E, CIPM, or CIPT
Payment’s compliance experience
Additional related education and/or experience preferred.

Responsibilities

Define, design, and lead a Compliance and Privacy Program, managing and developing teams while driving regulatory engagement, control design and mapping, risk assessments, policy management, education and awareness, complaint oversight, and ongoing program effectiveness to ensure sustained global compliance.
Serve as the subject matter expert regarding laws, regulations, practices and policies applicable to the business enterprise, particularly relevant areas of responsibility.
Educate internal stakeholders on differing international regulatory expectations and serve as a subject-matter expert for cross-border regulatory preparedness.
Lead regulatory change management for Compliance including supporting the Legal Department in identifying and defining regulatory requirements and their applicability to the enterprise.
Lead effort to identify, analyze and provide advice on emerging trends to mitigate compliance and legal risk for domestic and/or global jurisdictions to the Company.
Exercises independent judgement and uses subject matter expertise regarding laws, regulations, practices and policies to provide compliance advice to the business enterprise.
Lead compliance validation program where controls are tested to ensure compliance with law, regulation and policies, and effectiveness of programs, and to identify compliance gaps.
Collaborate with the other teams to understand compliance issues, identify the root cause, and validate the remediation of control issues to mitigate risk to the company.
Lead, design and execute metrics, analytics, and reporting to ensure leadership is making informed risk-based compliance-related decisions.
Identify, draft, implement and oversee policies and procedures designed to ensure compliance, as necessary.
Participate substantively in third party audits and assessments as necessary.
Support consumer-related litigation efforts as requested by counsel.
Manages a team of compliance resources by utilizing leadership qualities and acts as a resource to others.
Support the company’s commitment to risk management and protecting the integrity and confidentiality of systems and data.

Benefits

Healthcare Coverage – Competitive medical (PPO/HDHP), dental, and vision plans as well as company contributions to your Health Savings Account (HSA) or pre-tax savings through flexible spending accounts (FSA) for commuting, health & dependent care expenses.
401(k) Retirement Plan – Featuring a 100% Company Safe Harbor Match on your first 6% deferral immediately upon eligibility.
Paid Time Off – Flexible Time Off for Exempt (salaried) employees, as well as generous PTO for Non-Exempt (hourly) employees, plus 11 paid company holidays and a paid volunteer day.
12 weeks of Paid Parental Leave
Maven Family Planning – provides support through your Parenting journey including egg freezing, fertility, adoption, surrogacy, pregnancy, postpartum, early pediatrics, and returning to work.

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