Compliance Executive - Training

Purpose of Job

Manages the ongoing development and execution of risk and compliance training content and plans for personnel, and both the parent and subsidiary Boards of Directors. Manages the monitoring of compliance with government regulations and regulatory agencies for the organization. Directs and performs evaluation of internal operations, controls, communications, risk assessments and maintenance of documentation as related to regulatory compliance and recommends appropriate changes. Reviews and evaluates results of internal and external audits and advises organization on appropriate actions to be taken. Directs and manages training related interactions with regulatory agencies. Selects, develops and evaluates personnel to ensure the efficient operation of the function.

Job Requirements

  • Directly manages individual contributors and/or people managers within a sub-functional team.
  • Performs workload management and prioritization duties in support of operations for the functional area assigned.
  • Demonstrates executive-level thought leadership, strategy development, and operational planning.
  • Applies subject matter expert functional knowledge to lead subordinate workers in producing work deliverables in support of departmental initiatives.
  • Leads broad functional projects.
  • Develops functional policies, procedures and guidelines.
  • Identifies opportunities and facilitates major improvements to processes and systems.
  • Performs highly complex tasks under minimal supervision and has discretion to deviate from established procedures and guidelines.
  • Serves in an executive leadership capacity and has responsibility for performance management and professional development activities for subordinate workers.

Required:

  • Bachelor's Degree (4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree).
  • 10 or more years of progressive related experience developing strategies, managing major initiatives and delivering results within a complex matrix environment required.
  • 4 or more years of people leadership experience in building, managing and/or developing high-performing teams required.
  • Experience collaborating with key resources and stakeholders, influencing decisions and managing work to achieve strategic goals required.
  • Executive-level business acumen in the areas of business operations, industry practices and emerging trends required.

Preferred Requirements:

  • 3+ years experience with risk and/or compliance training, to include content design and development, audience identification and management, training plan development and plan deployment.
  • Broad experience with Learning Management Systems (LMS) and GRC systems.
  • Large Banking or Financial Services experience.
  • Certified Regulatory Compliance Manager (CRCM) designation.
  • Knowledge of OCC/Fed regulations and experience managing regulatory interactions.

In addition to the requirements mentioned above, candidates are also evaluated against job related competencies that are aligned with performance expectations for this role.  These competencies are referred to as The USAA Standard and are contained in the attached addendum.