Global Regulatory Compliance Intern assisting with documentation for country registration and tracking international market entry processes. Engaging in regulatory compliance tasks with a focus on various global standards and practices.
About the role
- Compliance Assistant Manager at Western Alliance Bank handling regulatory compliance oversight and guidance. Leading compliance assessments, collaborating with stakeholders, and supporting compliance programs.
Responsibilities
- As a Compliance Assistant Manager you'll be a subject matter expert and provide advice, oversight and guidance related to regulatory compliance risks, control effectiveness, root cause analysis, and issue review and validation
- You'll provide leadership and direction in identifying the applicability and impact of regulations on the Bank's Mortgage products, services and lines of businesses
- In addition, you'll assist in the review and interpretation of new regulations or changes to existing regulations, including conducting impact assessments
- In this role you'll provide oversight, monitor, test and effectively challenge various regulatory compliance activities
- You'll support the Compliance programs, and perform risk and control assessments (RCSA) in line with methodology, scope, and frequency
- You’ll also conduct compliance risk assessments (CCRA) in the firm's GRC platform, ensuring accurate ratings and rationale for Inherent Risk (IRR), Quality of Risk Management (QRM) and Residual Risk (RRR)
- Effectively synthesize and communicate compliance information, identify root cause(s) of potential compliance risk, and provide various reports to management
- Collaborate with stakeholders across the Bank to gain insight into compliance risks associated with various line of business activities, objectives, practices, processes, and the overall control environment
- Partner with subject matter experts in the lines of business to formulate an integrated and independent view of the business area risks and risk management practices
- You will also work with Compliance team members to develop compliance risk management guidance for the lines of business
- Raise issues and collaborate in the development and implementation of new compliance policies, practices and tools
- May lead and develop a team: responsible for hiring, coaching, performance management, training and development
Requirements
- 6+ years of related experience in Regulatory Compliance, Risk Management, Internal Audit or similar field
- Bachelor's degree in related field preferred but not required
- Previous leadership experience preferred
- Intermediate to Advanced knowledge of mortgage origination operations, including sales, disclosures, processing, underwriting, closing/funding, post closing
- Ability to assess compliance with applicable federal and state statutes (TILA, TRID, RESPA, ECOA, FCRA, HPA, FDPA, etc.), program specific requirements (ARM, DSCR, Interest Only, HELOC/HEL), and regulatory requirements circulated by agencies including FNMA, FHLMC, FHA, VA, USDA, and CFPB
- Intermediate to Advanced knowledge of applicable regulatory and legal compliance obligations, rules and regulations, industry standards and practices
- Intermediate to Advanced experience in Regulatory and Compliance as it related to Mortgage Banking is preferred
- Intermediate to advanced understanding of MS Office with specific focus in Excel and PowerPoint
- Intermediate to Advanced speaking and writing communication skills.
- Certified Regulatory Compliance Manager preferred
Benefits
- competitive salaries
- an ownership stake in the company
- medical and dental insurance
- time off
- a great 401k matching program
- tuition assistance program
- an employee volunteer program
- a wellness program
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