Manage independently and perform Compliance testing. This includes planning, fieldwork and reporting and communicating results verbally and in writing to members of management.
Perform procedures to ensure previously identified weaknesses have been remediated.
Investigate opportunities for process improvements.
Guide other members on the team regarding various aspects of Compliance testing
Understand and ensure compliance with all federal, state and local laws, ordinances, regulations, GSE guidelines and client requirements
Using the established matrix of applicable laws by BU; develop testing to tests the operational effectiveness of the existing controls
Organize and drive legal and compliance testing, regulatory exams and audits and CFPB preparedness
Work with the BUs to maintain compliant business practices and appropriately handle escalations
Provide reporting on the compliance performance of the business unit.
Have excellent knowledge of internal control testing
Have strong communication skills, both written and verbal; and
Be proficient with using various Microsoft products including Powerpoint, Excel, Access and Word and with flowcharting software
Establish a foundation for continuous improvement, incorporating internal, external and client feedback utilizing technology solutions
Develop and operationalize consistent compliance testing policies and procedures
Provide guidance and approval of forms, templates, and documents as well as key policies, processes and procedures
Report compliance testing metrics timely and accurately