Compliance

• Ensure all aspects of the regulatory team function efficiently
• Provide direction on all aspects of the regulatory organization
• Interact with government authorities, senior company management, sales and field personnel, and internal and external legal and technical resources
• Prioritize, sequence, and allocate resources toward company goals while maintaining regulatory compliance
• Maintain a high-level view of organizational accountabilities and drive process improvements
• Manage technical and professional staff supporting regulatory-team functions
• Partner with senior management and business areas on product and rate designs, development, regulatory filings, negotiations, approvals, ongoing compliance, Market Conduct exams, complaint processes, project timelines, Non-Standard processes, reporting, and implementation support
• Represent the company and team at industry meetings
• Establish productive partnerships with business partners and state and federal regulatory agency personnel
• Represent the regulatory team in decision-making processes
• Manage competing priorities

Director, Product Compliance

• Strategically plan and oversee validations of compliance-risk issues identified by first and second lines
• Provide subject matter expertise on Compliance controls/processes and testing and validation execution
• Manage the inventory of issue validations
• Oversee and develop teams of specialists and/or managers conducting independent Compliance testing
• Provide guidance, leadership, coaching, and development to achieve operational and professional development objectives
• Hire talent, set goals, develop staff, manage performance and compensation decisions, promote teamwork, and handle disciplinary actions
• Ensure timely execution of the Compliance testing plan
• Communicate Compliance testing results to senior and executive management
• Identify emerging trends, operational efficiencies, and opportunities through testing engagements
• Clarify priorities and goals for the Compliance testing program
• Manage and prioritize multiple reviews and projects
• Lead resolution of complex project and program issues
• Manage Compliance Testing engagements and validation of action plans
• Conduct analytical research and analysis
• Develop, implement, track, and report Compliance testing schedules
• Provide strategic direction for the Compliance Testing Program, procedures, and processes
• Advise management, business units, and teams on Compliance issues
• Report emerging trends, risks, and opportunities and recommend actions to senior management
• Support key partner relationships and align accountabilities
• Develop business plans and optimize resources
• Plan and execute strategic activities, communicate results, and adjust tactics
• Identify and implement continuous improvement opportunities
• Support action/remediation plans resulting from audits or regulator reviews
• Maintain a culture of risk management and control
• Recruit, coach, develop, and manage a diverse, high-performing team
• Act as a brand ambassador for the business area and bank

Compliance jobs in Maine

Director, Product Compliance

Senior Manager, Compliance Validations