Job Description:

Our client, a diversified financial services company, is seeking a SVP Regulatory Compliance Leader.  The right candidate will direct the staff and activities involved in Regulatory and Investor compliance including governance over the business compliance framework, policies, processes, procedures, and controls to ensure that compliance objectives are achieved. Direct the activities of the LPO Compliance Second Line of Defense to ensure compliance with state and federal laws and regulations, investor requirements and policies.



  • Directs the organization to build a strong governance framework and assurance programs overseeing investor, state and federal regulations across the company’s LPO entity.
  • Participates on the leadership team to build the business control functions that support business-wide compliance with statutory mandates, investor and regulatory requirements; and accomplished through the direct facilitation of Compliance Alert meetings, development of Compliance Bulletins, performance of Risk Assessments, and the clear communication of Compliance Directives.
  • Partners with LPO business, Legal, LPO Quality Control, Training, Security, and Corporate Compliance teams to ensure compliance-oriented procedures have been successfully interpreted, prioritized, operationalized, communicated, and audited for adherence.
  • Oversees an external monitoring program to proactively identify and communicate changes in laws, regulations, and investor guidelines.
  • Performs reviews to test operational readiness for investor, CFPB, regulator, or client audits.
  • Identifies critical gaps and drives communication and programs designed to reduce and manage risks. Works with business leaders to evaluate results of compliance and risk self-assessments.
  • Schedules external reviews of critical compliance directives to provide independent evaluations on an as needed basis.
  • Ensures all written notifications, such as borrower letters, advertising materials, call scripts and other communications are reviewed and receive compliance approval prior to implementation (New Client Implementation and Maintenance of existing client notifications).
  • Develops an overall compliance vision, setting compliance goals, and recommend changes to build a framework for compliance excellence.
  • Advises operations and technology project teams of all regulatory compliance and operational risk implications so educated risk based decisions can be made and effective processes are implemented.
  • Participates in product and process development committees, project prioritization and execution committees, and quality assurance committees such that state and federal regulations and investor guidelines are communicated, prioritized and appropriately incorporated into project planning and execution.
  • Collaborates with the Quality Control organization and Internal Audit to support risk based testing of and reporting on critical compliance directives.
  • Performs independent compliance testing for early issue identification, trending and tracking.
  • Maintains awareness of the business context and company profitability, including budgetary control issues and acts as primary compliance liaison with clients



  • Must have a Bachelor’s Degree in Business or related field.
  • Must have at least eight (8) years in banking and/or insurance industry experience, of which four (4) years must be in a Collateral or Mortgage Insurance products and services field, which includes at least three to five (3-5) years in progressive management positions.
  • Certified Regulatory Compliance Manager (CRCM) or Certified Risk Professional (CRP) preferred.
  • Must have to following skills and/or abilities:
  • Must be proficient in insurance and/or mortgage industry Federal and State compliance regulations and standards.
  • Must possess a strong working knowledge of insurance licenses and computer programs to facilitate license applications and licensing databases.
  • Demonstrated accomplishments in designing and implementing governance programs and key performance indicators.
  • Ability to allocate authority and/or tasks responsibility to appropriate personnel.
  • Strong leadership skills to effectively motivate, encourage, and sustain quality, compliance, and efficiency requirements and strategic goals.
  • Excellent analytical, problem resolution and decision-making skills.
  • Ability to collaborate, influence, and build strong business partnerships with various external constituencies and internal stakeholders.
  • Excellent verbal, organizational, presentation and interpersonal skills.
  • Strong working knowledge of PC’s and related applications such as Microsoft Word, Excel, and the like.
  • Able to work under sometimes stressful conditions, while maintaining professionalism and enthusiasm.
  • Acts as independent contributor role and for the oversight of Quality Control, Policies and Procedures, Audit Readiness, and Business Rules Logic /Administration.
  • Must be able to sit for long periods of time while analyzing workflow, developing reports, or performing other sedentary duties.
  • Must be able to stand for long periods of time while conducting presentation or other activities.
  • Must be able to lift 10-20 lbs. of reports or other documents.
  • Must be able to travel locally or nationally.

Please email resumes to Erica Azru – EArzu@swbc.com

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