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Associate Director, Compliance Operations

Apply Req ID: od7Ihfw3 Date posted 11/29/2021

Description

Summary of Responsibilities

The Compliance Operations team includes Governance and Reporting, Regulatory Change Management, RCSA, Risk Assessment, Policies & Standards, and Board and Enterprise Compliance Training. The Associate Director, Compliance Operations will be responsible for governance and reporting activities and presentations delivered to oversight committees including the Board of Directors, content and oversight of Compliance Training, and issues management and escalation activities.

Essential Functions:

  • Independently create content and gather necessary information for all governance and reporting presentations.
  • Independently create content and conduct oversight of Compliance Training.
  • Execute issues management activities including triage, meeting routines, and escalations.
  • Evaluate existing activities to ensure continuous compliance with laws, regulations and policies impacting the organization.
  • Leading or participating in projects designed to address regulatory compliance requirements.
  • Proactively identify and communicate process improvement opportunities to management.
  • Interact with other Compliance and business partners to ensure complete, consistent and accurate information is captured and reported in order to support the monitoring, measurement, and mitigation of compliance risk.
  • Independently create presentations as assigned to be used by the Chief Compliance Officer and other senior leaders.
  • Willingly support other aspects of Compliance Operations including exam management, and policies and standards.
  • Conduct periodic reviews of policies, procedures, and operations for compliance.
  • Ensure efficient and effective compliance management practices by adhering to required standards and processes.
  • Support the Compliance Department through effective communication, including the delivery of content to various audiences.
  • Provide employee training on compliance related topics, policies, or procedures.
  • Present to leadership on ongoing projects and other departmental priorities, as well as consistency and efficiency of work performed.
  • Provide consistent quality service to stakeholders and management that meets or exceeds company standards.
  • Assists in drafting of new and/or revised policies and procedures.
  • Ensures that all tasks are carried out with a high degree of professionalism.
  • Take responsibility for achieving strong results, despite balancing multiple complex demands.
  • Other duties as assigned to support the consumer compliance program


Role may include management of professional staff. Candidate is responsible for the strategic guidance, development and evaluation of associates. Carries out supervisory responsibilities in accordance with Santander’s policies and applicable laws.

Requirements:

  • BA/BS Degree or equivalent combination of education and experience required.
  • Minimum of eight (8) to ten (10) years’ experience working in compliance, audit or other governance functions within a large commercial and/or investment bank or in a regulatory agency, with working knowledge of consumer and commercial banking and/or capital markets products; auto-finance experience preferred.
  • Advanced knowledge and experience with PowerPoint and other presentation formats.
  • Prior experience in corporate environment dealing with regulators, auditors and legal counsel.
  • Ability to interact with all levels of management up to and including executive levels
  • Ability to multitask in a fast-paced environment
  • Excellent analytical, technical and problem solving skills, with strong attention to detail.
  • Superior leadership and organizational skills.
  • High ethical standards; ability to maintain confidentiality.
  • Exceptional verbal and written communication, collaboration, and time management skills.
  • Strong Microsoft Office product (Word, Excel, Access, PowerPoint) skills required

Competencies:

  • Collaboration - Relationship Management:
    • Proficient - Applying and Executing
      • Knows who to reach out to inside and outside of one’s team to get work done
      • Takes action to enhance working relationships needed to achieve seamless work flow
  • Collaboration - Teamwork:
    • Proficient - Applying and Executing
      • Creates a good working environment in the team; works towards shared goals contributing ideas and accepting change
      • Provides assistance and coaches less experienced team members
  • Execution - Accountability:
    • Proficient - Applying and Executing
      • Follows through to meet commitments to others
      • Takes responsibility for achieving strong results, despite balancing multiple complex demands
  • Influence - Information Sharing:
    • Proficient - Applying and Executing
      • Uses information and data effectively to support a position and present a rational case
  • Influence - Two-way communication:
    • Proficient - Applying and Executing
      • Communicates in a timely and straightforward manner
      • Probes for additional information, clarifies assumptions and confirms agreed-upon actions
      • Keeps everyone involved informed about progress and issues
  • Risk Business Acumen - Industry Acumen:
    • Proficient - Applying and Executing
      • Stays current with industry and regulatory trends and emerging risk issues
      • Has good understanding of current market and competitive landscape that the organization operates within
  • Risk Management - Knowledge of Risk Management Policies, Regulations, Processes and Procedures:
    • Proficient - Applying and Executing
      • Executes risk management process and procedures without management direction, and demonstrates awareness of expected results
      • Knows the relationship and impact of actions and results
      • Has an understanding of regulations impacting area supported
  • Risk Management - Risk and Compliance Adherence:
    • Proficient - Applying and Executing
      • Communicates the importance and benefits of risk management to counterparts
      • Displays natural skepticism and curiosity to question the status quo and uncover issues
      • Adheres to a good root cause analysis process

Working Conditions:

  • Frequently: Minimal physical effort such as sitting, standing, and walking.
  • Occasional moving and lifting of equipment and furniture is required to support onsite and offsite meeting setup and teardown.
  • Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.


Employer’s Rights:

  • This job description does not list all the duties of the job. You may be asked by your supervisors or managers to perform other duties. You will be evaluated in part based upon your performance of the tasks listed in this job description.
  • The employer has the right to revise this job description at any time. This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.

Employees desiring consideration should complete an online application, utilizing the appropriate process as subscribed by the posting entity. Employees should provide all pertinent information to support their candidacy.

To be considered eligible for internal posting, Santander employees must meet all of the following eligibility requirements:
• Completion of at least one year of active service in Santander
• Completion of at least twelve months in current position
• Be in “Good Standing”
Please click here to see the full policy -

https://tbcdn.talentbrew.com/company/1771/internal_v2_0/img/eligibility.pdf

At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. We encourage everyone to apply.

As a part of our commitment to the health and safety of our employees and clients, we have implemented COVID-related health and safety requirements for our workforce. These requirements may include all or some combination of: disclosing your vaccination status, being fully vaccinated, regular testing, mask wearing and social distancing. As you go through our selection process, the requirements will be clearly disclosed to you.

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