Overview

We are looking for someone with the ability to help develop, enhance and maintain an effective compliance program within a major financial company. This person will:

Offer guidance and serve as a primary point of contact for compliance related matters
Will have a good understanding and maintain awareness of applicable regulations including Anti-Money Laundering, Privacy, Patriot Act, Cybersecurity, etc.
Will have a good understanding of financial industry compliance policies, standards, and practice
Provide guidance to various departments, with an understanding of the businesses’ product or service and the ability to assess the impact requirements will have on the department.
Be able to identifying, investigating and escalating “red flags” or issues where a level of exposure may exist
Escalating areas of non-compliance and ensuring that compliance risks are adequately identified, assessed, monitored, and reported; including working with associates to ensure corrective action plans are implemented
Liaising with acquirers and internal/external auditors
Educating and communicating compliance awareness to associates through guidance, training, and bulletins
Proactively monitoring the financial and regulatory environment to stay abreast of developments which could impact the business
Maintaining and updating, as required, policy changes and business/compliance documentation
Develop and implement effective oversight testing and monitoring
Conduct compliance reviews, identifying and addressing trends and concerns
Following an annual compliance plan; tracking and reporting key deliverables and milestones

Requirements:
We need an organized and detail oriented self-starter who can hustle, and is comfortable functioning with minimal supervision. More specifically, we are looking for someone who has the following attributes:

Previous experience as a VP of Compliance or Managing Director of Compliance is preferred
Extensive background in consumer finance is preferred
10+ years work experience in the financial industry or related field; with at least 3 years experience in a compliance, legal or audit role
General understanding of SEC, FINRA & State Securities Rules and Regulations
Strong analytical skills and the ability to adapt to changes
An understanding of regulatory and operational risks and controls and the ability to independently conduct compliance reviews
A strong team player with well-developed leadership qualities -Strong interpersonal skills and an ability to establish rapport with everyone from sales and support to the leadership team and external auditors
Good written and verbal communication skills with the ability to deliver effective presentations to various stakeholders

Willing to relocate talent for lucrative role
Chance to run entire function in fast growing company

Time Sensitive – Interviews will begin immediately
Please send resume with salary requirements to Lynn Radice at resumes@radiceconsulting.com

Radice Consulting Headquarters, located in PA, is searching for several Compliance roles nationally.