Senior Manager, Compliance - UDAP & Ethics

NorthAB LLC

15d•$90,000 - $150,000•Remote

About The Position

The Senior Compliance Manager – UDAP & Ethics, serves as a lead and subject matter expert for UDAP and Ethics compliance policy, program, and processes. The role also serves as a subject matter process expert in compliance framework, and provides guidance and support to Compliance’s overall team efforts toward achieving and maintaining a sustainable compliance environment, playing a material role in communicating our policies toward treating the customers fairly and adherence to our code of conduct and business ethics. This role works closely with other members of the Compliance team, as well as with business partners, stakeholders, and third- parties, to help ensure sound and effective compliance management and oversight that protects and strengthens our brand, grows confidence in how we conduct business, and strengthens customer commitment to our products and services.

Requirements

Bachelor's degree
7+ years compliance experience in financial services or other regulated industries that includes UDAP and ethics related compliance functions
Minimum 7 years compliance program experience (e.g., policies, procedures, training) that includes the review of communications such as marketing materials for compliance purposes, and subject matter experience with laws and regulations that impact how the customer is treated (business centric) such as UDAP, CAN-SPAM, CASL (Canada).
5+ investigations and internal reports requiring confidentiality, and executive engagement
Expertise of Compliance and corporate governance laws, rules, regulations, risks and typologies; Ability to analyze and communicate changes in laws, regulations, and rules to senior management, product development and product managers, business partners, and customers.
Ability to translate laws, regulations, and standards underlying compliance requirements into business requirements in support of people, processes, and technology execution, management, and controls.
Excellent written, verbal and analytical skills
Experienced presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
Ability to work collaboratively and to navigate a complex organization; to influence and lead people across cultures at a senior level
Consistently models high standards of honesty and integrity
Experience engaging directly with auditors, reviewers, and regulators
Excellent interpersonal skills with the ability to think and communicate creatively, thoughtfully, and on your feet with diverse technical and non-technical groups, spanning all organizational levels.
Strategic thinker and tactical executor - able to rapidly shift from “big picture” to “detailed operations”.
Ability to provide leadership and judgment to analyze, evaluate, develop and effectuate solutions to complex problems.

Nice To Haves

Certified Payments Professional (CPP) Certification, Certified Regulatory Compliance Manager (CRCM) or equivalent

Responsibilities

Own, manage and oversee UDAP policy and requirements relating to business client interactions. Including Ownership and maintenance of internal policy regarding prevention of unfair and deceptive practices, and reviews and requirements applicable to merchants business in scope of federal and states laws regarding consumer protections
Review of public facing marketing materials of companies in scope, and review of merchant’s, and third parties in scope of role and responsibilities
Management and execution of Compliance’s complaint management oversight program as a means of identifying potential indicators of non-compliance with compliance related policies and requirements.
Manage and execute day-to-day code of conduct and business ethics compliance and framework, including Ensuring code of conduct program is documented, implemented and maintained
Managing ethics inbox and hotline, evaluating concerns reported to Ethics Committee, such as inquiries seeking guidance, and determining assignment of matters reported to the appropriate partners, with follow-up to ensure concerns are addressed.
Managing and executing substantive preparation and actions tracking for Ethics Committee, facilitating Committee’s review of materials, and working closely with CCO on Ethics Committee matters.
Effectively manage UDAP and code of conduct investigations, including resolutions and preparation of closure reports.
Develop employee training, in collaboration with eLearning, and create useful guidance documents and tools to help employees understand and adhere to UDAP policy and code of conduct.
Identify and report trends, significant matters and compliance issues.
Develop reporting, including charts/analyses to highlight trends, correlations and key issues. Make appropriate recommendations to improve controls and systems.
Additional duties as assigned.