Westlake Services, LLC
Compliance Director
Westlake Services, LLC, Dallas, Texas, United States, 75215
Covered Care | Corporate OfficeDallas, TX, USA
Operational:Develops, initiates, maintains, and revises policies and procedures for the general operation of the organization’s compliance program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.Investigates and resolves compliance problems, questions, or complaints received from other departments, customers, and government regulatory agencies.Assists in developing and implementing compliance policies, standards, and programs.Acts as the compliance lead on all new and enhanced products and services, projects/programs/launches, as well as on existing products and services teams.Responds to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.Coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.Responsible for administering 3rd party vendor management.Training:Works with Human Resources and others, as appropriate, to develop an effective compliance training program, including appropriate introductory training for new employees, as well as ongoing training for the Board of Directors and all employees.May develop and implement programs and training designed to increase employee awareness and knowledge of compliance policies.Coordinates and ensures that all employees complete initial and annual compliance training and maintains records of completion.Monitors the performance of the compliance program and reports activities on a continuing basis, taking appropriate steps to improve its effectiveness.Experience:Strong compliance experience required with the operational, banking industry, quality assurance, and regulations.Strong servicing experience and familiarity with compliance regulations relating to loan originations and servicing.Banking experience is a must to lead compliance on all new and enhanced products and services, projects/programs/launches, as well as on existing products and services teams.Ability to understand and interpret compliance laws and regulations and their relevance to credit union operation.Risk management experience is a plus.Ability to perform research independently and work under minimal supervision.Investigates and resolves compliance problems, questions, or complaints received from other departments in the credit union, customers, and government regulatory agencies.Professional certification (CPA, CIA, CRCM, or other relevant certification) or advanced degree is a plus.Designation by CUNA as a Credit Union Compliance Expert (CUCE) and/or a NAFCU Certified Compliance Officer (NCCO) preferred. Juris Doctor (JD) helpful.Healthcare/HIPAA experience is helpful.Must demonstrate a functional knowledge of the Bank Secrecy Act, in addition to other Federal laws, including but not limited to the U.S. Patriot Act, Office of Foreign Assets & Control, Anti-Money Laundering, Right to Financial Privacy Act, and the Bank Bribery Act.Benefits:Medical, Dental, and Vision benefitsLife Insurance and Long-term disability plansFlexible Spending Account401K matchingEmployee Stock Ownership Program in a $18.2 Billion Company, plus company matchingWellness ProgramsMetro Tap Card and Metro-link Reimbursement (for Los Angeles, CA employees only)Discounts on Parks, Museums, Movie Tickets, and AttractionsAnnual Flu ShotPaid Vacation DaysPaid Sick DaysPaid HolidaysGym (available in our Los Angeles, CA & Dallas, TX office)Rental Car Discounts, Dell Member Purchase ProgramUKG WalletACKNOWLEDGMENTSWe 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 of the organization.
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Operational:Develops, initiates, maintains, and revises policies and procedures for the general operation of the organization’s compliance program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.Investigates and resolves compliance problems, questions, or complaints received from other departments, customers, and government regulatory agencies.Assists in developing and implementing compliance policies, standards, and programs.Acts as the compliance lead on all new and enhanced products and services, projects/programs/launches, as well as on existing products and services teams.Responds to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.Coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.Responsible for administering 3rd party vendor management.Training:Works with Human Resources and others, as appropriate, to develop an effective compliance training program, including appropriate introductory training for new employees, as well as ongoing training for the Board of Directors and all employees.May develop and implement programs and training designed to increase employee awareness and knowledge of compliance policies.Coordinates and ensures that all employees complete initial and annual compliance training and maintains records of completion.Monitors the performance of the compliance program and reports activities on a continuing basis, taking appropriate steps to improve its effectiveness.Experience:Strong compliance experience required with the operational, banking industry, quality assurance, and regulations.Strong servicing experience and familiarity with compliance regulations relating to loan originations and servicing.Banking experience is a must to lead compliance on all new and enhanced products and services, projects/programs/launches, as well as on existing products and services teams.Ability to understand and interpret compliance laws and regulations and their relevance to credit union operation.Risk management experience is a plus.Ability to perform research independently and work under minimal supervision.Investigates and resolves compliance problems, questions, or complaints received from other departments in the credit union, customers, and government regulatory agencies.Professional certification (CPA, CIA, CRCM, or other relevant certification) or advanced degree is a plus.Designation by CUNA as a Credit Union Compliance Expert (CUCE) and/or a NAFCU Certified Compliance Officer (NCCO) preferred. Juris Doctor (JD) helpful.Healthcare/HIPAA experience is helpful.Must demonstrate a functional knowledge of the Bank Secrecy Act, in addition to other Federal laws, including but not limited to the U.S. Patriot Act, Office of Foreign Assets & Control, Anti-Money Laundering, Right to Financial Privacy Act, and the Bank Bribery Act.Benefits:Medical, Dental, and Vision benefitsLife Insurance and Long-term disability plansFlexible Spending Account401K matchingEmployee Stock Ownership Program in a $18.2 Billion Company, plus company matchingWellness ProgramsMetro Tap Card and Metro-link Reimbursement (for Los Angeles, CA employees only)Discounts on Parks, Museums, Movie Tickets, and AttractionsAnnual Flu ShotPaid Vacation DaysPaid Sick DaysPaid HolidaysGym (available in our Los Angeles, CA & Dallas, TX office)Rental Car Discounts, Dell Member Purchase ProgramUKG WalletACKNOWLEDGMENTSWe 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 of the organization.
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