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Director of Compliance

Company: TMX Finance Family of Companies
Location: Carrollton
Posted on: January 12, 2022

Job Description:

Overview

The TMX Finance - Family of Companies is looking for a Director of Compliance to focus on compliance with federal, state and local laws by implementing and overseeing a comprehensive compliance management program. You will coordinate with the Operations, IT, Legal departments, and outside vendors to support successful operational processes and compliance with federal, state and local laws. Reporting to the Chief Compliance Officer, you will collaborate to develop compliance strategies and oversee the Compliance department.

This position is based in-office. The health and well-being of our Team Members, their families, and our customers remain a top priority for us. That's why we've taken a number of steps to help maintain a clean and safe environment where Team Members can thrive, and customers can feel safe. Currently, in our stores and Corporate offices, we're practicing social distancing, encouraging face coverings (unless otherwise required by law), and considering state, local requirements and Center for Disease Control (CDC) guidelines to help ensure a clean and safe environment for all. - As the situation evolves, changes may be made to our practices, in line with state and local mandates as well as CDC-guidelines.

Essential Responsibilities

Develop and oversee compliance operations to maintain a comprehensive compliance management program, including risk assessment, policy and procedure implementation, training support, and compliance monitoring, mitigation and improvements, and oversee ad hoc compliance projects as they arise.

Support the Chief Compliance Officer by overseeing and reporting on Compliance team management and advise on Companywide compliance strategy development and implementation. Work with CCO to ensure Compliance is primary advocate for enhancing the Company's compliance program, as appropriate.

Learn - regulatory aspects of products and develop appropriate reports to track risk. Work closely with the Legal team to understand regulatory requirements and develop risk mitigation process that enhances Company compliance.

Collaborate with the Legal team on projects and initiatives to support business and resolve litigation.

Conduct risk assessment and develop policies and procedures to support compliance with federal, state, and local laws, including product-focused policies and procedures, for existing and new products and operating states.

Oversee -state regulatory audits and examinations to ensure timely and responsive submissions, follow-up, effective communication with state regulators, and proper document maintenance.

Support complaints team in complaint processes, trends and process/product improvements.

Develop -and maintain effective and positive relationships with other teams' leadership, including Product, Business Operations, and Internal Audit, to facilitate a collaborative approach to compliance risk management. This includes acting as a Compliance liaison between teams and third-party software providers to ensure synchronization of proposed and existing products and features, including proper monitoring, testing and reporting to correct compliance issues.

Identify -and track emerging compliance trends and best practices for consumer financial services industry and report on identified compliance needs to leadership in coordination with the CCO.

Partner with Internal Audit team to provide support on initiatives and audit plans, including theft/fraud initiatives and work closely with stakeholders when audit issues are identified.

Coordinate -with Product Development team to assist in the development of compliance-related aspects for both internal and external software applications identifying new build business requirements, quality assurance sign-off, reporting, defect remediation, and data dumps.

Champion and oversee all Compliance team activities in developing creative solutions to business objectives to assist in driving business results that appropriately consider compliance.

Minimum Qualifications

Minimum of 9 years of compliance, legal and/or operations experience in a consumer-finance focused environment.
Significant prior experience in regulatory compliance, including state and federal audits.
Strong IT systems experience, including requirements building.
Physical demands for this position frequently include: the ability to remain in a stationary position, move about freely inside and occasionally outside of the office, and the operation of mechanical controls, such as a keyboard.

Preferred Qualifications
CRCM
Management experience
Experience with quality assurance or user acceptance testing
J.D. degree and a state bar license (need not be Texas/Georgia)

Learn More About Us

The Director of Compliance is a member of the Compliance Team, a group of sharp, dedicated professionals providing guidance in interpreting the laws and regulations that govern our industry. To learn more, visit - https://www.tmxfinancefamily.com/careers/top-talent/legal-compliance .

Check out what's happening in our Company at - https://www.tmxfinancefamily.com/tmx-talks .

The information contained herein is not intended to be an all-inclusive list of the duties and responsibilities of the job, nor is it intended to be an all-inclusive list of the skills and abilities required to do the job. The Company may, at its discretion, revise the job description at any time, and additional functions and requirements may be assigned by supervisors as deemed appropriate. - Requirements, skills and abilities included have been determined to illustrate the minimal standards required to successfully perform the position.

All TMX Finance - Family of Companies Are Equal Opportunity Employers.
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Keywords: TMX Finance Family of Companies, Carrollton , Director of Compliance, Executive , Carrollton, Texas

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