Provide strategic direction and guidance to line of business senior leaders regarding applicable laws, rules, regulations, enterprise standards and industry best practices.
Execute Compliance and Risk Program requirements such as risk assessments, issue management, third party risk management, training, metrics and reporting.
Embraces a strong risk culture, identifying and proving oversight, credible challenge, and escalation of existing and emerging risks and issues.
Monitor reporting, and timely remediation of issues, deficiencies, and regulatory matters.
Provide subject matter expertise to business partners, mitigating compliance and operational risks through management expertise while consulting for projects and initiatives with moderate to high risk ratings.
Identify strategies to effectively monitor and analyze data (i.e. complaints, quality assurance results, etc.) identifyingpotential compliance and operational risks.
Recommend opportunities to improve processes that alleviate risk. Develop policies, procedures and job aids.
Review of marketing collateral to ensure it’a alignment with internal guidelines.
Assist with collecting information and responding to audit and exam requests.
Provide direction to the business unit, conducting root cause analysis and developing corrective action plans.