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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance oversight and risk management within Retail Distribution, with a strong focus on regulatory compliance, issue management, and effective communication with stakeholders. Capable of developing and implementing compliance programs while mentoring team members and collaborating across business lines.
Highest-signal resume keywords
Compliance OversightRegulatory Change ManagementConsumer Banking RegulationsCompliance MonitoringIssue Management
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory ComplianceRisk ManagementControl MappingTestingRegulatory Risk AssessmentCompliance Program DevelopmentData AnalysisPresentation SkillsDocumentation PreparationConsumer Banking Regulations
Soft Skills
Strong Communication SkillsRelationship-BuildingProactive MindsetResults-OrientedAdaptability
Tools & Technologies
Artificial Intelligence Implementations
Certifications & Qualifications
CRCM
Industry Keywords
Retail DistributionSales PracticesRegulatory GuidanceEmerging IssuesTrends
About the role
Key responsibilities & impact- Provide compliance oversight, advisory support, effective challenge, and compliance risk management for Retail Distribution
- Manage the engagement model for other Compliance areas supporting business lines
- Serve as primary Compliance support for assigned business lines and provide independent challenge on regulated activities and initiatives
- Act as regulatory compliance subject matter expert for applicable laws, rules, and regulations
- Monitor business activity through issues management, monitoring, and testing
- Participate in forums, committees, and regular meetings
- Review and challenge regulatory risks and mitigations for material business changes and new initiatives
- Outline conditions to launch and present initiatives to executives for approval
- Manage and track compliance-related issues through timely resolution
- Lead compliance regulatory change management for new and updated state laws
- Monitor regulatory complaints, business reports, and key risk indicators to identify trends and risks
- Review and validate first-line testing
- Support control mapping linking regulatory requirements to effective business controls
- Collaborate with cross-functional teams to strengthen the compliance framework and reduce risk exposure
- Advise the business on new and changed regulatory or policy requirements
- Develop and implement Compliance programs
- Prepare summaries, presentations, briefing notes, and other reporting documentation
- Represent Compliance on internal or external committees
- Conduct functional or enterprise-level analysis and make recommendations
- Manage high-risk initiatives and escalations
- Facilitate Compliance risk and self-assessment activities
- Monitor completion and communication of assessments
- Conduct internal and external research and support presentations to management
- Maintain relationships across business lines and control functions
- Monitor emerging issues, trends, and evolving regulatory requirements
- Mentor others and contribute to team development
Requirements
What you’ll need- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Strong subject matter expertise and working knowledge of consumer banking regulations and regulatory guidance impacting Retail Distribution, including Sales Practices
- Experience in compliance monitoring, testing, and control mapping
- Hands-on experience in issue management and regulatory change management
- Experience assessing regulatory risk associated with new products/services, processes, technology, or business initiatives
- Strong written and verbal communication skills
- Strong presentation skills and ability to present to executives
- Relationship-building skills with the ability to work across multiple business lines
- Proactive, results-oriented, and adaptable mindset
- CRCM preferred
- Experience with Artificial Intelligence initiative implementations in a consumer banking setting is a plus
- Occasional domestic travel; no international travel
Benefits
Comp & perks- Variable compensation/incentive awards, including potential cash and/or equity incentive awards
- Health and well-being benefits
- Savings and retirement programs
- Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO
- Banking benefits and discounts
- Career development
- Reward and recognition
- Regular development conversations, training programs, and performance conversations
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Employee assistance with workplace accommodations