INTERFACE FINANCIAL CORP.
The Compliance Senior Manager
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Compliance Senior Manager
The Compliance Senior Manager supporting Large Enterprise, Middle Market and Small Business will provide regulatory guidance and support the leadership team in the day-to-day implementation of the requirements of a robust Risk & Compliance program to support business objectives.
- Serve as a credible business partner representing the Compliance organization to the various product teams
- Maintain key relationships with business leadership as well as Legal, Technology, Info Sec and other internal groups, and some external stakeholders
- Work with Commercial Sales organization to operationalize policies and guidelines set by Enterprise Risk Compliance & Security (ERCS)
- Coordinate with cross-functional teams to accomplish shared objectives
- Execute against the requirements of the global compliance program
- Support management and operations with problem solving on legal and regulatory issues
- Support Global AML, Compliance OPS and the Fraud Investigations Team with law enforcement and other regulatory matters, as required
- Provide subject matter expertise on issues and remediation efforts, inclusive of tracking and reporting
- Support and when possible, anticipate/identify/escalate risk scenarios and propose potential mitigations
Skills
This position, reporting to the Vice President, US Risk and Compliance, will need to build strong relationships with IFG business partners and within the ERCS organization to be effectively positioned to understand, communicate and influence plans, results, issues, and outcomes. This leader will work in a complex, fast-paced matrixed environment, replete with tight deliverable timeframes and multiple stakeholders, both internal and external. This position is expected to act independently and demonstrate strong initiative. This leader needs to influence outcomes, minimize and address conflict and demonstrate in-depth understanding of compliance and operational risks. The role requires a sense of urgency, passion for results, and personal accountability for achievement. The individual must possess program management expertise and business acumen along with strategic and innovative thinking and an unwavering focus on the customer. Their strong leadership and relationship skills, resilience and ability to effectively communicate will be key in driving results the right way. Specifically, this position will:
- Serve as on-the-ground execution for a wide variety of cross-functional projects for the Risk and Compliance team. Ability to navigate internal networks and build internal consensus is a must.
- Will provide leadership, direction and functional expertise to develop and drive the implementation of the future state strategy.
- Support operating routines that facilitate decision-making, leadership alignment, and team engagement.
- Collaborate with cross-functional team professionals to deliver exceptional and responsive service by providing risk management expertise in a clear, solution oriented and customer-focused manner.
- Partner with the business to understand their needs, and drive solutions specifically around process improvements.
- Initiate, manage and execute projects across a diverse array of priorities.
- Support business analytics and reporting by creating enhanced and meaningful reporting to be utilized by leadership and senior management.
- Develop practices and/or processes necessary to implement decisions made by the RCO leadership team.
- Champion the RCO goals and objectives across the organization.
- Assist in implementation of RCO strategic initiatives.
- Ad hoc projects as needed.
Requirements:
- 15+ years of risk management, compliance, AML and internal audit experience
- Background in finance and financial audits preferred
- Possesses superior verbal and written communication skills
- Ability to persuade, influence, and build trust with a broad spectrum of constituents across all levels
- Prioritizes work, multi-tasks effortlessly, meets deadlines, and achieves goals
- Works efficiently under pressure in a dynamic and complex environment
- Demonstrates strong project management skills, including leadership and consensus building
- Must be self-motivated, dependable, adaptable, and detail-oriented
- Proven ability to work independently and within a team environment
- Adaptable in unexpected situations, comfortable dealing with ambiguity and uncertainty
- Highly motivated to work in a fast-paced and changing environment
- Operates with strong integrity and the ability to handle projects of a sensitive and confidential nature
- Possesses strong analytical, problem solving, and critical / creative thinking skills
- Establishes realistic short and long-term goals and objectives
- Proven ability to operate simultaneously as an effective tactical as well as strategic thinker
- Ability to exercise sound judgment in development and selection of solutions
- Ability to credibly challenge solutions and ensure timely escalation of issues and concerns as and when appropriate
- Demonstrates strong interpersonal skills
- Proven and demonstrated leadership skills including relationship-building and collaboration skills with clear ability to influence, gain buy-in and negotiate with a diverse group of key business partners/stakeholders including senior management
- Effectively leads small-scale teams
- Effectively delegates among team members
- Proven track record of aligning and allocating resources to drive optimal delivery
- Focused on recruiting & developing talent over the short and long term
- Experience working in a fast-paced, dynamic environment in a context of profound cultural and industry change
- Proven ability to thrive in an entrepreneurial environment
- Strong writing, research, analytical, problem solving, and organizational skills
- Strong computer knowledge; excellent MS Word, Excel, Visio, and PowerPoint skills
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About Us
We're a purpose-driven company whose beliefs are the foundation for how we conduct business every day. We hold ourselves to our One Team Behaviors which demand that we hold the highest ethical standards, to empower an open and diverse workplace, and strive to treat everyone who is touched by our business with dignity and respect. Our employees challenge the status quo, ask questions, and find solutions. We want to break down barriers to financial empowerment. Join us as we change the way the world defines financial freedom. IFG provides equal employment opportunity (EEO) to all persons regardless of age, color, national origin, citizenship status, physical or mental disability, race, religion, creed, gender, sex, pregnancy, sexual orientation, gender identity and/or expression, genetic information, marital status, status with regard to public assistance, veteran status, or any other characteristic protected by federal, state or local law. In addition, IFG will provide reasonable accommodations for qualified individuals with disabilities.
Responsibilities
This role will serve as the Risk and Compliance primary point of contact for IFGs Servicing Team and will be responsible for:
- Providing guidance to business partners relating to the development of controls for critical business processes to mitigate compliance/operational risk.
- Assisting in execution of the compliance risk assessments.
- Supporting ongoing and targeted compliance monitoring and/or testing.
- Providing ongoing support of business unit's issue management and remediation efforts.
- Assisting with the development of SOPs and applicable policies.
- Providing business with guidance and oversight of new product development initiatives.
- Preparing periodic reports summarizing the business units risk and control environment.
- Engaging key Risk and Compliance program stakeholders to help support business unit initiatives.
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Requirements:
- 10-15 years of Compliance and/or Operational Risk experience.
- Background in customer service and operations preferred.
- Strong consumer protection and AML expertise.
- Experience in supporting business partners in the development and enhancement of first line monitoring and testing programs.
- Demonstrates strong and effective leadership skills and ability to operate comfortably within a complex cultural, global environment.
- Proven track record of driving results and building effective relationships with all levels of management.
- Possess sound judgment, flexibility and nimbleness in changing courses and solving problems swiftly.
- Strong project management skills.
- Ability to multitask effortlessly and manage competing priorities under demanding deadlines.
- Demonstrated ability to learn quickly, manage projects and drive/achieve results.
- Strong computer knowledge; excellent MS Word, Excel, Visio, and PowerPoint skills.
- Superior verbal and written communication skills.
- Operate with strong integrity with the ability to handle projects of a sensitive and confidential nature
- Key liaison between AML functions and the larger Audit, Examinations and Regulatory Relations team.
- Overseeing global AML training courses to ensure alignment with policy, legal requirements and practices.
- Actively developing relationships and working collaboratively with cross functional groups and leaders within and outside of IFG to drive for results and influence issue resolution.
- Championing the goals and objectives of ERCS across the organization.
Requirements
The ideal candidate will have senior GFCC experience within a large, complex financial services institution and is adept at navigating a complex and continuously changing global regulatory ecosystem.
- The successful candidate will hold a minimum 10 years of AML, Compliance, law enforcement or similar experience. A college degree and relevant experience in a senior position at a large financial institution is preferred.
- Extensive technical knowledge of U.S. and International AML and Sanctions regulations, and a detailed understanding of the Bank Secrecy Act (BSA), USA Patriot Act and OFAC (Foreign Asset Control Regulations).
- Technologically conversant with a knowledge of Analytics, Data Science and Big Data is considered to be enormously advantageous.
- Must possess exceptional interpersonal and influencing skills, with the ability to partner effectively at multiple levels and across disciplines.
- Exceptional project management skills, with the demonstrated ability to build and manage the day-to-day operations of large, complex GFCC programs in a changing regulatory environment.
- Proven ability to operate in ambiguous environments and exhibit agility in navigating from current state to proposed solutions.
About Us
We're a purpose-driven company whose beliefs are the foundation for how we conduct business every day. We hold ourselves to our One Team Behaviors which demand that we hold the highest ethical standards, to empower an open and diverse workplace, and strive to treat everyone who is touched by our business with dignity and respect. Our employees challenge the status quo, ask questions, and find solutions. We want to break down barriers to financial empowerment. Join us as we change the way the world defines financial freedom. IFG provides equal employment opportunity (EEO) to all persons regardless of age, color, national origin, citizenship status, physical or mental disability, race, religion, creed, gender, sex, pregnancy, sexual orientation, gender
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