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Responsible for helping management maintain and enhance department or functional units in support of the overall compliance program components. The role collaborates with management to identify compliance issues and corrective action plans, and communicates the scope and severity of concerns identified to the applicable level of management.
- Assists in obtaining and developing content for presentations for committee reporting. Supports the business in operationalizing legal and regulatory requirements.
- Maintains a high level of awareness and knowledge of regulatory compliance requirements and assisting in the identification of compliance risks.
- Manages the activities of the Compliance staff (direct/indirect) and is responsible for the overall integrity and quality of the work product.
- Communicates and collaborates with business partners in the first line of defense regarding compliance risks and controls.
- Creates and maintains work product and supporting documentation. Communicates results and/or concerns verbally and in written.
- Ensures compliance issues are brought to the attention of senior compliance professionals.
- Monitors and validates the status of corrective actions taken by business partners to remediate concerns.
- Reviews and investigates Elevated Complaints as key Compliance point of contact in areas such as DCC/EOCA, reviews tracking and trending, and assists business with identification of process improvements to mitigate compliance risks identified by complaint analysis. Evaluates, monitors and/or tests the adequacy of business processes and practices with respect to risks, controls, and regulatory requirement identifying gaps and issues.
- Assists more senior compliance professionals in evaluating the adequacy of business policies, procedures, training and reference materials, system and manual processes, and provides support for research of regulatory requirements.
- Assists Principals, Managers, or Senior Manager in discrete portions of larger projects.
At a minimum, here’s what we need from you:
- Bachelor’s Degree in any field
- 4+ years of experience in Project Management, Compliance, Risk, Operations, Governance, or related field
If we had our say, we’d also look for:
- 6+ years of experience in Compliance, Law, Risk Operations, Governance, or related field
- In lieu of a degree, 8+ years of experience in Compliance, Law, Risk Operations, and Governance
- Lending, Deposits Certified Regulatory Compliance Manager
- Project Management Professional
- JD, CISA, CIPP, CRMP, RIMS, or similar preferred
Discover Financial Services is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, protected veteran status, among other things, or as a qualified individual with a disability.