Senior Advisor, Compliance
Posted on: October 13, 2019
OverviewSummary of Responsibilities
Support the Fair Lending and Originations programs by ensuring that
an effective compliance management and corporate governance
practices are established and maintained..
- Supports the strategic plans of the business; this position is
responsible for the Consumer Compliance function encompassing
Regulatory Risk, Fair Lending, Compliance Audit teams to ensure
that policies and processes are appropriate, competitive and
consistent with Management's risk appetite.
- Responsible for reviewing, maintaining and leading the
continued development and initiatives for a robust, cohesive Fair
Lending and Originations compliance program (policies and
procedures), risk assessment, reviews (aligned with corporate
standards) and documentation of controls.
- Identify and assess compliance risk , including Fair Lending
risk, primarily through partnering with business management in the
development of new products, services, or processes
- Monitoring business activities to identify Fair Lending and
other regulatory risks to which the organization is exposed and
work with the business and other support functions to implement
measures to prevent, eliminate, or mitigate those risks.
- Leading or participating in projects designed to address
regulatory compliance requirements
- Provides leadership and specialist knowledge to business teams
on Compliance matters to ensure a culture of compliance and
- Leads positively in the management of relationships with
regulators in all relevant jurisdictions, fostering an environment
of mutual trust and respect.
- Assist in the preparation and facilitation of examinations
conducted by various regulatory agencies
- Develop and present training sessions for the business and
other compliance associates regarding Fair Lending
- Responsible for the review and documentation of complaints as
it relates to Fair Lending
- Oversees SC's adherence to applicable financial services
legislation and regulations, codes of best practice, Santander US
and Santander Group Policies.
- Assimilates complex regulatory matters, and provide timely
advice that leads to pragmatic and viable solutions.
- Assists in drafting of new and/or revised policies and
- Ensures that all tasks are carried out with a high degree of
- Provides effective people management, including training and
development, to ensure retention, nurturing and continuing
professional development of our talent.
- Provides continuous motivation and development of the team,
including objective setting, appraisals and training to drive
- Other duties as assigned to support the consumer compliance
- BA/BS Degree or equivalent combination of education and
experience required. JD preferred.
- Minimum of eight (8) to ten (10) years' experience working in
compliance, audit or other governance functions within a large
commercial and/or investment bank or in a regulatory agency, with
working knowledge of consumer and commercial banking and/or capital
markets products; auto-finance experience and Fair Lending
- Prior experience in corporate environment dealing with
regulators, auditors and legal counsel is required.
- Strong foundation and business experience of regulations
including Fair Lending, Reg. B, TILA, FCRA, Reg. M, and TILA as
well as other consumer protection laws and State and Federal
- Knowledge of auto loan industry, preferred
- Understanding of risk assessment protocols to develop
appropriate risk assessment models to quantify consumer and Fair
Lending risks across the organization
- Ability to interact with all levels of management up to and
including executive levels
- Ability to multitask in a fast-paced environment
- Excellent analytical, technical and problem solving skills,
with strong attention to detail.
- Superior leadership and organizational skills.
- High ethical standards; ability to maintain
- Exceptional verbal and written communication, collaboration,
and time management skills.
- Strong Microsoft Office product (Word, Excel, Access,
PowerPoint) skills required
- Extended working hours may be required as dictated by
management and business needs.
- Travel to multiple facilities may be required.
- May be required to lift, push, or pull materials weighing up to
twenty (20) pounds.
- May be required to sit and review information on a computer
screen for long periods of time
- May require repetitive motions of the hands and wrist related
to writing and typing at an electronic keyboard
- Corporate / satellite office role
This job description does not list all the duties of the job. You
may be asked by your supervisors or managers to perform other
duties. You will be evaluated in part based upon your performance
of the tasks listed in this job description.
The employer has the right to revise this job description at any
time. This job description is not a contract for employment, and
either you or the employer may terminate employment at any time,
for any reason.
Keywords: Santander, Dallas , Senior Advisor, Compliance, Accounting, Auditing , Dallas, Texas
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