Complaints Regulatory Reporting Lead managing complaint metrics and regulatory compliance for AIG operations. Designing frameworks and reports that enhance operational improvement and decision making across jurisdictions.
About the role
- Director overseeing compliance testing to validate processes and controls for financial services division at Capital One. Leading risk-based approach, managing staff, and developing relationships with compliance partners.
Responsibilities
- Oversee transaction testing and control testing
- Manage staffing assignments to ensure successful completion of calendar commitments
- Develop and sustain an evolving risk based approach to optimize testing coverage and review of high/emerging risks
- Invest in associate development to ensure high quality results
- Lead the annual calendar planning for compliance testing for the Auto division and Fair and Responsible Banking requirements
- Sustain a cadence of continuous improvement
- Review the work product of the team for accuracy, completeness and ensuring correct framing of risks
- Formally document and present results from compliance testing to senior management and executives
- Establish and maintain strong relationships with compliance and business partners at all levels
- Provide support to audit and exams as needed
Requirements
- Bachelor’s Degree or military Experience
- At least 7 years of experience working in financial services in risk, compliance, audit or legal
- At least 3 year of people management experience
- Master's degree or Juris Doctorate (Preferred)
- At least 10 years of experience working in financial services within compliance, audit, or an analytical discipline (Preferred)
- At least 10 years of experience in risk management, compliance, compliance testing, audit or a combination (Preferred)
- At least 5 years of financial services consumer compliance monitoring experience (Preferred)
- At least 5 years of people management experience (Preferred)
- Certified Regulatory Compliance Manager (CRCM) accreditation (Preferred)
- Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives (Preferred)
Benefits
- Comprehensive and competitive health, financial and other benefits that support your total well-being.
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