Regulatory Compliance Exam Specialist

• →Help provide responses to state and federal requests for information.
• →Help to coordinate state and federal regulatory examinations from agencies such as the CFPB, DOJ, FTC, SEC, NY DFS, DBO, TX OCCC and others.
• →Develop and implement necessary corrective actions to resolve cited exceptions that result from state and federal regulatory examinations
• →Schedule follow up internal audits to monitor and maintain the effectiveness of the corrective action taken to ensure future compliance
• →Provide written responses to exception reports and ongoing audit results to state and federal regulators
• →Prepare internal reports and summaries on incidents of non-compliance with relevant legal, regulatory and policy requirements
• →Develop and present Root Cause Analysis along with Corrective Action Plans to the compliance board and board of directors
• →Work closely with the Chief Compliance Officer and Regulatory Compliance Counsel to ensure that cited exceptions are in fact valid before developing and implementing a remediation/corrective action.
• →Work with and partner with business units to develop, design, document, and maintain monitoring policies and procedures for the objective of ensuring compliance with relevant legal and regulatory requirements governing compliance finance.

• Basic knowledge of multi-state regulatory requirements for auto finance
• Basic knowledge of Consumer Financial Protection Laws.
• Strong communication skills (verbal, writing) including the ability to communicate professionally with state and federal regulators and upper management.
• Superior interpersonal skills and teamwork awareness
• Demonstrated understanding of learning & development principles
• Must be able to handle multi-tasking of projects and manage priorities in fast paced environment; and
• Detail Oriented.

• Bachelor’s Degree from an accredited College or University in Business related discipline;
• Preferred to have at least three years previous experience in the auto finance industry

• Daybreak or other retail consumer servicing systems preferred;
• Web navigation and/or web-based application;
• Personal computer: Microsoft Word, Excel, and Outlook, PowerPoint, Vision; and
• Copier, Faxing & other general office supplies.

We will consider for employment all qualified Applicants, including those with Criminal Histories, in a manner consistent with the requirements of applicable state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.

We are an equal opportunity employer and do not unlawfully discriminate in employment. No question on this application is used for the purpose of limiting or excluding any applicant from consideration for employment on a basis prohibited by local, state, or federal law. Equal access to employment, services, and programs is available to all persons. Those applicants requiring reasonable accommodation to the application and/or interview process should notify a representative