Regulatory Compliance SME

  • location: Charlotte, NC
  • type: Contract
  • salary: $60.04 - $71.02 per hour
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job description

Regulatory Compliance SME

job summary:
This role will be responsible for identifying regulatory compliance risks. The candidate will be able to articulate and identify regulatory risk within LOB business processes.

 
location: Charlotte, North Carolina
job type: Contract
salary: $60.04 - 71.02 per hour
work hours: 8 to 5
education: Bachelor's degree
experience: 10 Years
 
responsibilities:
Specific duties for this position include, but are not limited to:

  • Serve as a relationship manager between Business- Aligned Compliance and Business Aligned Control organizations
  • Responsible to facilitate the MCR dealing process including, attending the Compliance MR dealing meeting, getting feedback from applicable Regulatory SME and Business (via business-aligned control), challenging Compliance and confirming the final applicability.
  • Participate in business meetings as a regulatory control representative and provide regulatory research and follow-up activities as a result of discussions occurring in business meetings.
  • Develop and maintain centralized repository for Regulatory SME effort related to issue/corrective action, testing, audit, exams and regulatory risk reviews for business level dashboard and ad-hoc reporting
  • Provides business unit & sub-business unit level aggregate reporting and dashboards for business leaders on each of the business' performance in managing regulatory risks.
  • Support the business on non-regulatory specific regulatory compliance activities as follows:

    • Business Process Management - Regulatory impact and Controls
    • Third Party Relationships regulatory reviews (CFL, CRRA, IRQ, etc.)
    • Business projects and Initiatives
    • Compliance Training assignments, needs analysis and content review
  • Design and implement processes to identify significant regulatory changes and communicate emerging regulatory risks to business units.
  • Design and deliver regulatory reporting and assessments across all business lines
  • Drive PVSI consistency through standards, playbooks, and procedures
  • Execute IRM regulatory program requirements
 
qualifications:
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skills: Regulatory reporting, Regulatory Compliance - SEC, Regulatory Compliance - Other
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

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