Compliance

• Serve as a senior member of the Residential Lending Servicing compliance team
• Provide advisory support, oversight, and credible challenge for operations, regulatory requirements, and compliance risks
• Maintain knowledge of Residential Lending Servicing processes including payments, billing statements, payoffs, account maintenance, line management, liens, escrow, customer communications, and related initiatives
• Lead compliance coverage activities including regulatory change management, risk assessments, monitoring and testing, complaint and issue oversight, procedure governance, and escalation of material risks
• Build partnerships with Line of Business leadership, Business Risk, Legal, Operations, and other stakeholders
• Identify emerging risks, assess change impacts, and provide practical compliance guidance
• Support the Enterprise Compliance Target Operating Model and strategic initiatives
• Communicate effective compliance programs to identify and prevent illegal, unethical, or improper business practices
• Coach and mentor junior staff and raise issues to senior team members
• Analyze data to identify compliance risks and provide risk mitigation resolutions
• Identify compliance impacts related to marketing materials, sales programs, product development, documentation review, and other initiatives
• Assess existing and emerging risks, evaluate materiality, and recommend mitigation
• Draft or assess Compliance Manuals, front-office materials, policies, and procedures
• Lead the compliance monitoring program and review activity against risk control limits
• Define and communicate compliance program objectives
• Review compliance reports, identify deeper issues and common themes, escalate issues, and recommend corrective action plans
• Update and implement reports to support timely compliance with regulatory requirements

Compliance Program Advisor – Residential Lending Servicing

• Plan execution of compliance programs to prevent illegal, unethical, or improper business practices
• Constructively challenge conclusions and the status quo
• Analyze data for key business initiatives to identify compliance risks
• Assist in providing resolutions to manage and mitigate identified risks
• Escalate identified risks to senior team members when necessary
• Identify compliance impacts on marketing materials, sales programs, product development, documentation review, and other business initiatives
• Assess activities for existing and emerging risks
• Evaluate the materiality of identified risks
• Research current laws, rules, and regulatory requirements
• Draft or assess Compliance Manuals, Front Office materials, policies, and procedures
• Manage the compliance monitoring program and review activity against established risk control limits
• Lead execution of Compliance program objectives for assigned areas, products/services, and applicable regulations
• Communicate and socialize compliance program objectives to business partners
• Independently challenge analyses and formulate recommendations
• Edit compliance reports and analyze them for deeper issues
• Escalate issues through proper governance channels and recommend corrective action plans
• Assist with updating or implementing reports for timely and effective regulatory compliance
• Conduct complaint monitoring, including conduct and reputational/fair access risk complaint evaluations
• Support issues management, periodic risk assessments, reporting, oversight activities, monitoring, and targeted reviews

Senior Compliance Program Specialist

• Serve as a member of Regions’ second line of defense risk management function
• Support development and maintenance of a strong risk culture through Regions’ risk management framework, internal policies, and program infrastructure
• Support risk programs through monitoring, testing, and reporting for regulatory and risk management standards
• Conduct risk assessments and evaluate control effectiveness, including organizational initiatives for risk impact
• Develop and maintain risk metrics, dashboards, and reporting tools
• Analyze findings, losses, and risk events to identify trends
• Collaborate with business units and stakeholders to provide guidance and risk mitigation strategies
• Assist with regulatory exams and internal audits by compiling information and preparing supporting materials
• Monitor applicable laws, regulations, internal policies, and trends; communicate impacts
• Support resolution of critical issues, findings, and regulator matters
• Provide advice and guidance to junior analysts as needed
• Execute end-to-end risk assessment processes, including planning, scoping, data collection, analysis, documentation, and reporting
• Provide independent challenge to risk assessments, assumptions, methodologies, and conclusions
• Identify gaps, inconsistencies, and potential biases in risk evaluations and recommend improvements
• Facilitate stakeholder discussions to validate risk ratings and evidence-based decisions
• Partner with risk assessors to complete assessments according to standards and timelines
• Provide subject matter support on risk frameworks, methodologies, and tools
• Maintain documentation and audit trails for governance and regulatory review
• Recommend and implement enhancements to risk assessment processes, tools, and templates
• Support business process mapping initiatives and prepare status reports and management updates

Enterprise Compliance and Operational Risk Analyst – Risk Assessment

• Participate in activities associated with Polsinelli’s information and data governance programs
• Review Outside Counsel Guidelines to ensure the Firm meets or exceeds client security requirements and complete appropriate documentation
• Complete client security questionnaires in a timely manner
• Support execution of a multi-year roadmap to enhance data governance capabilities
• Conduct analysis and advise on information governance topics related to legal and regulatory compliance
• Monitor compliance with data governance policies and standards and assess potential data-handling risks
• Collaborate on and drive security and compliance initiatives across multiple teams
• Advise business units and technology leaders on information security risks and propose risk treatment options and alternatives
• Collect performance indicators, metrics, and evidence for information security and data governance programs
• Communicate relevant, succinct, and actionable recommendations to leadership
• Maintain current knowledge of information and data governance best practices, data security governance concepts, regulations, and industry trends
• Assist in developing Data Governance, Information Security, and Privacy Policies and applying them practically
• Manage multiple simultaneous workstreams and communicate issues, concerns, risks, and status to stakeholders
• Maintain reliable, consistent attendance and availability during scheduled work shifts, including via Zoom, email, voicemail, and phone

Compliance jobs in Alabama

Compliance Program Advisor – Residential Lending Servicing

Senior Compliance Program Specialist

Enterprise Compliance and Operational Risk Analyst – Risk Assessment

Governance Risk and Compliance Analyst