Director of Compliance
Company: TMX Finance LLC.
Location: Carrollton
Posted on: May 4, 2022
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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
Keywords: TMX Finance LLC., Carrollton , Director of Compliance, Executive , Carrollton, Texas
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