Quality & Compliance Lead at Rockwell Automation driving QMS and quality initiatives in India. Engaging in quality improvements, audits, and compliance management across engineering and operations.
About the role
- Sr Compliance Advisory Manager at LendingClub overseeing compliance risks across the Personal Lending Products. Working closely with leaders to support risk management framework and regulatory compliance.
Responsibilities
- Assist with the assessment of all regulatory risks and controls related to lending products
- Participate in discussions with senior management including within strategic priorities, risk assessments, regulatory change management, compliance monitoring and testing, training, issues management, consumer complaints, and third-party risk
- Develop and maintain policies, standards, and other documented measures to formally set forth the principles and practices of regulatory compliance related to lending operations
- Work with business leaders and management to socialize lending compliance principles and practices and assist with developing procedures, systems, and processes to execute policy requirements
- Assist the Compliance Program Office with the development of regulation-based training and targeted role-based training covering the laws, regulations, and policy requirements related to lending operations
- Collaborate with Testing and Monitoring Teams to establish strategies and protocols to assess and measure compliance with legal and regulatory requirements and identify defects and deficiencies requiring corrective action
- Ensure material compliance issues identified by any means and through any source related to lending products are recorded, tracked, and reported to ensure their appropriate and timely resolution
- Coordinate with Regulatory Change Management to identify new or changes to laws, regulations, and regulatory guidance related to lending product compliance and work with business management to operationalize/implement requirements
- Prepare, deliver, and effectively communicate analysis and reporting regarding lending compliance to oversight committees and management
Requirements
- 6+ years of banking or financial services experience, primarily in compliance, risk management, and/or audit
- 3+ years of direct experience in lending compliance with a focus on consumer credit
- Proficient in consumer compliance and consumer protection regulations, including ECOA, UDAAP, TILA, FCRA, MLA/SCRA, TCPA, GLBA, EFTA, and ESIGN, as well as applicable state laws and safety and soundness considerations
- Strong working knowledge of consumer protection laws and associated risks, and the internal controls needed to mitigate those risks
- Strong communication skills with the ability to influence decisions and drive change
- Solid analytical, problem-solving, and critical thinking skills
- Ability to manage multiple priorities and adapt to rapid change
- Demonstrated ability to develop and manage projects to address complex problems and drive results through strong business partnerships and project management
- Experience working in a fast-paced, dynamic environment with the ability to deliver quality results amid competing priorities, aggressive timelines, and evolving direction
- Self-starter with the ability to think independently, take ownership, and drive initiatives to resolution, while providing appropriate progress updates and escalating issues as needed
- Exceptional organizational skills with strong attention to detail and accuracy
- Desire and ability to quickly learn LendingClub’s business model, technology capabilities, and evolving regulatory environment
- Professional certifications such as Certified Regulatory Compliance Manager (CRCM) (Preferred)
Benefits
- Medical, dental and vision plans for employees and their families
- 401(k) match
- Health and wellness programs
- Flexible time off policies for salaried employees
- Up to 16 weeks paid parental leave
- Relocation assistance
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