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Director Compliance
USAA
San Antonio, TX, United States
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Purpose of Job
We are currently seeking talented Director Compliance – Enterprise Compliance Testing for our San Antonio, TX facility, Phoenix AZ facility or Work @ Home.
Manages and leads a staff in the development and implementation of strategic and tactical solutions to protect and minimize operational compliance risk to USAA. Provides operational compliance oversight for USAA, its affiliates, and USAA partnerships with external companies. Builds effective relationships with industry and regulatory authorities. Manages a compliance testing program that evaluates the effectiveness of internal controls established to comply with applicable federal and state regulatory requirements. Plans and perform risk-based compliance testing of business lines to ensure they are complying with applicable federal and state laws and regulations. Manages a team that effectively and efficiently test regulatory compliance across business lines. Maintains communication of testing process and results with all levels of management. Develops compliance test plans based on the results of the annual compliance risk assessment. Ensures that the test plan is completed in accordance with the established schedule, documented in conformance with existing workpaper protocols, and that the work completed is accurate. Reviews testing scripts/scope relating to the compliance testing plan. Ensures compliance GRC (Governance, Risk and Compliance) tool is accurately maintained. Reviews testing reports prior to issuance that communicate the scope, and conclusions of testing and describes the findings and corrective action both verbally and in writing. Maintains strong working knowledge of applicable federal and state laws and regulations.
Job Requirements
• Reviews laws and regulations for business impact and completes risk assessments. Leads and motivates cross-functional team members in strategy development and implementation of compliance solutions. Utilizes advanced leadership and collaborative skills in interacting with compliance stakeholders or regulatory agencies. Fosters cooperation across team and organizational units. Builds consensus and morale through understanding of underlying team dynamics and by promoting development of team relationships.
• Anticipates and identifies future needs, opportunities and potential solutions, and leads cross-functional teams through the problem resolution process. Directs analyses and root cause identification; develops and recommends compliance solutions impacting the enterprise. Establishes aggressive goals for the organization and monitors to ensure achievement.
• Provides compliance input on business action plans, projects or operational requests. Advises senior management on issues and has authority to make project-related decisions. Develops, designs and delivers compliance strategies to senior leadership; negotiates solutions with leadership. Develops and delivers all types of messages effectively.
• Ensures proper implementation of business requirements and identifies outstanding compliance issues. Develops action plans for advancing compliance initiatives and for resolving outstanding compliance issues. Anticipates how the organization must adapt to changes in the industry to sustain competitive advantage.
• Applies expert knowledge of the business, its products and processes. Maintains expert knowledge of the competitive/regulatory landscape and the company's key challenges. Serves as the primary resource for cross-functional team members on escalated issues of a unique nature. Serves as the technical expert, providing direction to others on complex issues, and mentoring team members. Demonstrates awareness of personal leadership style and works to achieve quality results by motivating and inspiring highly skilled team of compliance professionals. Builds processes and relationships that facilitate productive teamwork.
• Coordinates and responds to regulatory requirements and requests, and ensures the execution of conduct examinations. Accountable for achieving business objectives and results; provides guidance to cross-functional team members to ensure goal achievement and team success
Minimum Requirements
• 8+ years experience in banking/financial services/insurance Regulatory Compliance, Risk Management, Internal Audit, legal or other compliance experience to include 2+ years testing experience.
• 3+ years of leadership experience.
• Develop and manage talent
• Bachelor’s Degree or 4+ additional years of experience beyond the minimum requirements.
*Qualifications may warrant placement in a different job level.*
When you apply for this position, you will be required to answer some initial questions. This will take approximately 5 minutes. Once you begin the questions you will not be able to finish them at a later time and you will not be able to change your responses.
Preferred
• 5+ years proven testing experience in a financial institution.
• Experience in developing, implementing and operationalizing Compliance Testing and Monitoring programs.
• Proven experience managing high volume output within a complex testing environment.
• Strong knowledge of federal and state laws and regulations, risk assessments, control analysis and testing and monitoring techniques within the areas of Banking, Financial Services, and Insurance.
• Strong written, oral communication and presentation skills with proven experience interacting with senior leaders.
• Certifications and Licenses such as Certified Regulatory Compliance Manager (CRCM), FINRA Licenses, etc.
***Selected candidates will attend and complete the Management Development School program in San Antonio, TX, during their first six months in position.***
The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.
At USAA our employees enjoy one of the best benefits packages in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs. Additionally, our career path planning and continuing education will assist you with your professional goals.
Relocation
assistance is not availablefor this position.
For Internal Candidates:
Must complete 12 months in current position (from date of hire or date of placement), or must have manager’s approval prior to posting.
Last day for internal candidates
to apply to the opening is 02/18/18 by 11:59 pm CST time.