1. Collaborate on new product initiatives to understand legal impact, define compliance requirements, and establish appropriate compliance policies and controls to facilitate successful launch.
2. Maintain a horizon view in order to detect and respond to new regulatory developments and issues that may pose compliance risk; educate management and guide teams in the development of a risk-based and coordinated response across dependent teams.
3. Manage examination and external audit processes, maintaining productive relationships with external assessors on an ongoing cadence and ensuring timely and accurate response to inquiries.
4. Promote a culture of compliance, proactively engaging with business teams to educate on compliance concerns, understand business objectives, and influence product design.
5. Drive seller education initiatives to enhance account health performance.
6. Manage the day to day functions of the compliance program, inclusive of the submission of required regulatory reporting and oversight of business owned controls.
7. Manage and maintain the policy library and risk measurement mechanisms that form the basis of compliance programs.
8. Prepare reports to senior management and senior business leaders with timely and actionable intelligence concerning the health of compliance programs.
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