Sr. Customer & Regulatory Relations Compliance Manager

Overall Purpose

The Senior Customer & Regulatory Relations Compliance Manager is responsible for managing the day-to-day operations of the Customer Relations process and serves as the primary point of contact for requests from auditors, examiners, and external parties, coordinating with key stakeholders across the organization. The role oversees, develops, and implements the customer relations program to ensure alignment with company policies and customer contracts.

Essential Functions

• Acts as a team leader providing direction and support to the Customer Relations team, ensuring they have the necessary resources, guidance, and training to succeed.

• Effectively manages complex customer account escalations by thoroughly understanding company requirements and expectations, minimizing conflicts, and fostering positive, productive partnerships.

• Expands programs to support new products ensuring alignment with customer audit rights within their contracts; developing and implementing procedures to support program changes.

• Coordinates and responds to new and existing customer requests for onsite audits and/or exams, gathers, standardizes, and documents required materials across business lines with leadership approval.

• Manages logistical support for audits, including scheduling, sending out calendar invites, meeting room coordination, and resource availability.

• Manages and leads exams and customer audits and responses, including but not limited to questionnaires, inquiries and findings.

• Tracks deliverables to ensure timely and accurate completion; reviewing submitted materials for relevance and compliance and providing recommendations for improvement when necessary.

• Monitors exam and audit findings, follows up with stakeholders to ensure timely remediation and responds and serves as backup facilitator for regulatory exams and assessments.

• Reviews and analyzes historical exams and audit data to support preparation and oversight; ensuring current Annual Risk Report documentation is shared appropriately.

• Continuously identifies and implements efficiencies across the Compliance Regulatory Relations Program, including supporting the implementation of an exam management application workflow.

• Assists in comparing controls, policies, procedures, work instructions, and other documentation to audit requirements, regulations, and exam manuals; collaborates with appropriate teams to address self-identified issues and gaps.

• Provides support by reviewing updates to policies, procedures, and systems based on audit findings and regulatory requests; contributes to projects involving regulators, auditors, and the compliance department.

• Supports the company's commitment to risk management and protecting the integrity and confidentiality of systems and data.

Minimum Qualifications

• Education and/or experience typically obtained through completion of a bachelor's degree or equivalent work experience.

• Typically 12 or more years of related experience including experience actively participating in external audits (OCC, CFPB, PCI, SOC2, etc.) and engagement with the external auditors.

• Ability to establish and maintain productive relationships between various leaders, departments and partners across the organization and externally.

• Strong organizational skills, including ability to prioritize multiple simultaneous projects.

• Resourceful and able to leverage internal relationships to obtain quick engagement.

• Background and drug screen.

Preferred Qualifications

• Knowledge of key laws, regulations and guidance in the financial services industry typically gained through five or more years in a compliance or risk management role.

• Compliance certification (CCEP, CRCM) or related degree.

The above job description is not intended to be an all-inclusive list of duties and standards of the position. Incumbents will follow instructions and perform other related duties as assigned by their supervisor.

Physical Requirements
Working conditions consist of a normal office environment. Work is primarily sedentary and requires extensive use of a computer and involves sitting for periods of approximately four hours. Work may require occasional standing, walking, kneeling, and reaching. Must be able to lift 10 pounds occasionally and/or negligible amount of force frequently. Requires visual acuity and dexterity to view, prepare, and manipulate documents and office equipment including personal computers. Requires the ability to communicate with internal and/or external customers.

Employee must be able to perform essential functions and physical requirements of position with or without reasonable accommodation.

The base pay scale for this position in:
Phoenix, AZ/ Chicago, IL in USD per year is: $129,000 - $161,000.

Additionally, candidates are eligible for a discretionary incentive plan and benefits.

This pay scale is subject to change and is not necessarily reflective of actual compensation that may be earned, nor a promise of any specific pay for any specific candidate, which is always dependent on legitimate factors considered at the time of job offer. Early Warning Services takes into consideration a variety of factors when determining a competitive salary offer, including, but not limited to, the job scope, market rates and geographic location of a position, candidate's education, experience, training, and specialized skills or certification(s) in relation to the job requirements and compared with internal equity (peers). The business actively supports and reviews wage equity to ensure that pay decisions are not based on gender, race, national origin, or any other protected classes.