Compliance Specialist in research administration at WashU. Developing knowledge of programs and ensuring compliance with policies and regulations.
About the role
- Regulatory Change & Inventory Management Lead role ensuring compliance with evolving laws for Synchrony. Collaborate with cross-functional teams to minimize compliance and operational risk.
Responsibilities
- Onboard a new regulatory horizon scanning vendor; ensure vendor alerts are appropriately tailored to Synchrony’s relevant products, services, and geographies; partner with vendor to fine tune scope as needed.
- Maintain ongoing vendor relationship, work with vendor as challenges arise with alerts, SLAs, and/or technology challenges, and ensure all vendor information is appropriately maintained in the company’s vendor system of record.
- Support continuous improvement initiatives to enhance regulatory change management processes and tools.
- Lead efforts to document regulatory change and inventory management processes updating or creating procedures, job aids, and process flows as warranted.
- Serve as the Compliance procedure contact for the company’s Law Monitoring, Early Warning, and Compliance Change Control Procedures; ensure the procedure remains current and socialize material changes with impacted stakeholders as needed.
- Ability to own/lead a process, including documenting associated risks and controls in alignment with the company’s Risk & Control Self-Assessment (RCSA) Program expectations.
- Develop regulatory change-related reporting; develop Key Risk and/or Key Performance Indicators (KRI/KPIs) and partner with Compliance Reporting and Risk Analytics teams to develop dashboards and incorporate relevant reporting into Compliance Sub-Committee materials.
- Lead monthly discussion forums designed to improve socialization of actionable regulatory changes across Legal, Compliance and impacted business stakeholders.
- Develop and deliver regulatory change system- and process-related training and communication materials to relevant stakeholders, including Compliance Risk Oversight subject matter experts (SMEs), to ensure awareness and adherence.
- Collaborate with Legal and Compliance SMEs to develop, implement and maintain a Style Guide to improve “Critical to Compliance (CTC)” and “Critical to Quality (CTQ)” obligations housed within the company’s regulatory inventory; ensure ongoing quality assurance against Style Guide standards.
- Develop a multi-year road map to gradually uplift existing CTC/Qs to align to Style Guide standards ; partner with RCSA leadership to coordinate uplift efforts with ongoing updates to RCSAs.
- Participate in periodic internal audit and regulatory examinations as it pertains to both Regulatory Change and Inventory Management-related processes, reports, and activities to the extent they have inquiries.
- Participate in external forums to obtain insight into industry best practices.
- Assist with other duties & functions, as needed.
Requirements
- 5+ years of consumer financial services within a consumer financial institution with Bachelor’s degree; in lieu of a degree 9+ years in consumer financial services
- 3+ years experience with regulatory change and inventory management process, tools, and technology
- 5+ years of experience with compliance and/or risk management in consumer financial services
- Experience working independently on multiple deliverables with minimal supervision while effectively supporting teamwork and achievement of team objectives
- Familiarity with the U.S. federal and state law/rulemaking (legal experience as an attorney or paralegal is a plus, but not required)
- Excellent organizational and time management skills
- Comfortable working in a dynamic environment; able to pivot quickly and manage change effectively
- Strategic thinker who can identify problems and/or efficiency opportunities, recommend a course of action (soliciting stakeholder input as needed), and independently drive enhancements in an efficient and proactive manner
- Ability to build strong, collaborative relationships and become a trusted partner with cross-functional teams (Compliance, Legal and the first line of defense)
- Strong written and verbal communication skills – attention to detail is critical; ability to synthesize complex or voluminous content into succinct, executive and Board-level messaging and presentations with senior management support
- Proficient in Microsoft applications, including Excel, PowerPoint and Word; familiarity with eGRC, SharePoint, and Tableau
- Understanding of how to effectively leverage artificial intelligence to drive operational efficiencies
- Certified Regulatory Compliance Manager (CRCM) or similar certification.
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Remote work options
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