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Compliance Testing Manager

American First Finance

Dallas, Texas

January 5, 2021

 

Contact Information

Pam Justiss
pjustiss@americanfirstfinance.com
https://americanfirstfinance.com
972-474-1174

The Compliance Testing Manager will provide support to further develop and manage the American First Finance Inc. (AFF) Compliance Testing Program to identify risks and implement independent testing to assess and measure compliance with applicable laws and regulations. This position will work closely with internal and external stakeholders to provide expertise on regulatory compliance testing matters and to detect and report upon compliance risks.

 

This key contributor will apply their knowledge of compliance requirements and controls to translate regulatory requirements into compliance testing checklists, tools, and questions able to detect pertinent risks. The Compliance Testing Manager will also create and facilitate well-documented test work papers and reports related to risks, root cause analysis, and potential action plans. The role also necessitates effectively monitoring, testing, and validating policies, procedures, controls, and processes, and facilitating the timely and effective communication and remediation, when necessary, of issues.

• Implement, manage, and report on scheduled testing per the AFF Testing and Monitoring Program.
• Provide in-depth, objective, and accurate compliance analysis and high-quality supporting test reports, workpapers, and documentation.
• Review the design and effectiveness of processes and controls, identify risks, and recommend risk-based improvements, as needed, in conjunction with applicable legal and regulatory requirements.
• Perform testing and monitoring activities to assure compliance with complex policies, procedures, laws, and regulations.
• Manage testing milestones to deliver timely results, and prioritize and track project schedules.
• Maintain knowledge of industry rules, regulations, and best practices to ensure testing adheres to regulatory standards and stakeholder expectations.
• Develop and partner with business intelligence to create compliance testing and evaluate additional areas to be tested.
• Review ongoing monitoring reports to inform the Testing Program’s scope and approach.
• Validate remediation efforts and first line of defense testing results.
• Audit account documentation regarding specialized topics, such as credit disputes and debt validations.
• Collaborate with stakeholders to resolve control weaknesses identified through testing.
• Prepare reports for senior management highlighting the testing scope, approach, results, and actions.
• Track the implementation of action plans to verify that issues identified during testing are remediated.

• 3-5 years of professional work experience in consumer regulatory compliance preferred
• 1 or more years of management experience preferred
• Testing experience in compliance, internal audit, external audit, quality control, and/or risk
• College degree required
• CRCM or similar compliance certification preferred
• Strong verbal and written communication skills
• Interest in technology, consumer finance, and improving consumer credit products
• Ability to collaborate cross-functionally with, and communicate complex regulations to, business partners
• Knowledge of consumer compliance laws and regulations (e.g., UDA(A)P, Servicemembers Civil Relief Act, Truth in Lending Act, Reg. Z, Fair Credit Reporting Act and Reg. V), and industry “best practices” for compliance programs in larger banking or consumer lending organizations
• Advanced knowledge of testing techniques and data analysis principles, as well as the ability to correctly interpret results
• Experience with implementing components of the COSO Framework preferred
• Ability to problem-solve, and to investigate and identify root causes
• Exceptional judgment and analytical skills, and keen attention to detail
• Ability to manage and oversee multiple engagements and work streams with various departments
• Experience working in a highly-regulated environment
• Previous experience developing executive reporting and presenting to key internal and external stakeholders is preferred

 

Please note this job description does not include a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this role. Duties, responsibilities, and activities may change at any time with or without notice.

Compliance Testing Analyst

American First Finance

Dallas, Texas

January 5, 2021

 

Contact Information

Pam Justiss
pjustiss@americanfirstfinance.com
https://americanfirstfinance.com
972-474-1174

The Compliance Testing Analyst will be responsible for execution of independent testing and risk identification to ensure compliance with applicable legal and regulatory requirements. This key contributor will create, compile, and retain well-documented test work papers and reports related to risks, root cause analysis, and potential corrective action. The role also necessitates effectively monitoring, testing, and validating policies, procedures, controls, and processes, and facilitating timely and effective communication and remediation of issues.

• Implement scheduled testing per the American First Finance Inc. Testing and Monitoring Program.
• Provide in-depth, objective, and accurate compliance analysis and high-quality supporting test reports, workpapers, and documentation.
• Review processes and controls, identify risks, and recommend risk-based improvements as needed in conjunction with applicable legal and regulatory requirements.
• Perform testing and monitoring activities to assure compliance with complex policies, procedures, laws, and regulations.
• Validate remediation efforts and first line of defense testing results.
• Audit account documentation regarding specialized topics such as credit disputes and debt validations.
• Assess the design and effectiveness of controls implemented to mitigate the applicable consumer compliance risks.
• Collaborate with stakeholders to resolve control weaknesses identified through testing.
• Prepare reports for senior management highlighting the testing scope, approach, results, and actions.
• Track the implementation of action plans to verify that issues identified during testing are remediated.

• 2+ years of professional work experience in consumer regulatory compliance preferred
• Testing experience in compliance, internal audit, external audit, quality control, and/or risk is preferred
• Knowledge of applicable consumer compliance regulations and laws (e.g., Fair Credit Reporting Act, the Truth in Lending Act, and the Servicemembers Civil Relief Act)
• Proficient in Microsoft Office, particularly Word, PowerPoint, and Excel
• Strong verbal and written communication skills
• Interest in technology, consumer finance, and improving consumer credit products
• Ability to problem-solve and to investigate and identify root causes
• Exceptional judgment and analytical skills, and keen attention to detail
• Ability to collaborate cross-functionally with, and communicate complex regulations to, business partners

 

Please note this job description does not include a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this role. Duties, responsibilities, and activities may change at any time with or without notice.

Compliance Analyst-Risk Oversight

American First Finance

Dallas, Texas

January 5, 2021

 

Contact Information

Pam Justiss
pjustiss@americanfirstfinance.com
https://americanfirstfinance.com
972-474-1174

The Compliance Analyst of Risk Oversight will be responsible for execution of essential compliance governance functions, including, but not limited to, compliance training, risk assessments, compliance reporting, and policies and procedures. The role involves building upon existing functions and processes, including by continually identifying, assessing, and reporting on compliance risks. A key focus of the role will involve improving compliance training through making it as effective, innovative, and meaningful as possible.

 

This key contributor will also create, compile, and maintain well-documented and timely work product, reports, and presentations related to risk assessments, compliance reporting, and potential emerging risks. The role also requires effective cross-functional collaboration and will focus on risk identification and the communication of risks in accordance with applicable compliance requirements.

 

This Compliance Analyst will be an integral part of completing initiatives that provide an impact at the enterprise level. An effective, results-focused, and motivated individual with a passion for compliance and a keen attention to detail would be an ideal candidate.

• Assist the Compliance Director with the design, development, and implementation of the Compliance Training program
• Facilitate updates and continued enhancements to compliance training modules, including through user acceptance testing
• Develop and update training materials, job aids, and other materials related to furthering understanding of consumer compliance topics
• Coordinate appropriate training by overseeing the proper assignment of courses, tracking to completion, and escalating to management, as required
• Utilize monitoring and testing results and risk assessments to help focus training on job-specific needs
• Ensure that employees, including new employees, are assigned to, and satisfactorily complete and pass, all required training
• Facilitate training needs and resources related to regulatory changes and new or revised services
• Analyze business developments and product information to integrate insights into recommendations for training topics and additional controls, as needed
• Maintain a comprehensive compliance risk assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile of the lines of business, products, and services, in conjunction with applicable regulatory and external requirements
• Share risk assessment observations collaboratively with business units and develop action plans as needed
• Track risk assessment items and project items through to completion
• Provide in-depth, objective, and accurate compliance risk assessments and high-quality supporting reports, workpapers, and documentation
• Prepare reports for senior management highlighting updates, dashboards, and emerging risks per requirements in the American First Finance Inc. Compliance Management System Policy
• Inventory compliance-related policies and procedures and facilitate required reviews and approvals
• Draft procedures and checklists, as needed, to document compliance processes
• Research, maintain, and provide timely, accurate recommendations regarding controls, policies, procedures, and standards as they relate to applicable compliance requirements

• 2+ years of professional work experience in consumer regulatory compliance preferred
• Knowledge of applicable consumer compliance regulations and laws (e.g., Fair Credit Reporting Act, the Truth in Lending Act, and the Servicemembers Civil Relief Act)
• Experience with performance of compliance risk assessments, which quantify inherent risk, assess controls, and determine residual risk
• Proficient in Microsoft Office, particularly Word, PowerPoint, and Excel
• Strong verbal and written communication skills
• Interest in technology, consumer finance, and improving consumer credit products
• Ability to problem-solve and to investigate and identify root causes
• Exceptional judgment and analytical skills
• Ability to adapt successfully balance multiple projects in a fast-paced environment
• Organized approach to workflows and keen attention to detail
• Ability to collaborate cross-functionally with, and communicate complex regulations to, business partners

 

Please note this job description does not include a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this role. Duties, responsibilities, and activities may change at any time with or without notice.

Compliance Analyst Third-Party Risk Oversight

American First Finance

Dallas, Texas

January 5, 2021

 

Contact Information

Pam Justiss
pjustiss@americanfirstfinance.com
https://americanfirstfinance.com
972-474-1174

The Compliance Analyst of Third-Party Risk Oversight will be responsible for the execution of essential third-party compliance oversight functions, including, but not limited to, compliance due diligence, third-party risk assessments, and compliance monitoring, as well as reviewing and implementing policies and procedures. The role further involves maintaining, as well as building upon, existing controls and processes related to third parties, including by continually identifying, assessing, reporting upon, and responding to potential compliance risks.

 

A key focus of the role will involve conducting due diligence on new and existing third parties that provide products or services to American First Finance Inc. (AFF). Additionally, this role will support risk oversight relating to merchants that do business with AFF. This key contributor will create, compile, and maintain well-documented and timely reports and presentations related to existing and potentially emerging third-party risks. The role also involves providing advisory support to help business units further strengthen their risk-related controls to identify, assess, and mitigate risks arising from third-party relationships.

• Assist with the implementation of a comprehensive Vendor Management Compliance Oversight Framework to ensure the applicable regulatory compliance risks are identified and assessed to determine the level of risk presented by respective third parties
• Collaborate with stakeholders to establish and schedule third-party compliance risk assessments
• Execute ongoing due diligence and monitoring for both current and potential third-party relationships
• Identify, assess, and measure third-party risk by conducting risk assessments and creating high-quality supporting reports, workpapers, and documentation
• Ensure that third-party policies and procedures regarding compliance are regularly reviewed and updated, as needed, according to AFF’s policies and procedures
• Create and complete customized procedures, assessment templates, and checklists to identify and assess areas that pose risk to AFF
• Develop and report assessment and review outcomes and socialize with appropriate management, providing recommendations concerning identified issues to reduce compliance risks
• Assess and monitor implementation of recommendations and action plans to validate effectiveness
• Support facilitation of third-party oversight through providing advisory support as needed for developing both internal and external training materials
• Facilitate third-party monitoring and oversight as needed in relation to legal and regulatory updates and new or revised products or services
• Analyze business developments and product information to integrate insights into recommendations for enhanced oversight
• Track risk assessment items and project items through to completion
• Prepare reports for senior management highlighting updates, dashboards, and emerging risks per requirements in AFF’s Vendor Management Compliance Oversight Policy
• Inventory third-party oversight documentation and facilitate required reviews and approvals
• Monitor consumer-facing platforms (e.g., websites) belong to merchants and other third parties for compliance with applicable laws and regulations, and escalate identified matters, as appropriate, to enhance business controls and track solutions to completion

• 2+ years of professional work experience in consumer regulatory compliance preferred
• Knowledge of applicable consumer compliance regulations and laws (e.g., Fair Credit Reporting Act, the Truth in Lending Act, and the Servicemembers Civil Relief Act)
• Vendor/third-party management compliance oversight experience preferred
• Experience with performance of compliance risk assessments, which quantify inherent risk, assess controls, and determine residual risk
• Proficient in Microsoft Office, particularly Word, PowerPoint, and Excel
• Strong verbal and written communication skills
• Interest in technology, consumer finance, and improving consumer credit products
• Ability to problem-solve and to investigate and identify root causes
• Exceptional judgment and analytical skills
• Ability to adapt successfully balance multiple projects in a fast-paced environment
• Organized approach to workflows and keen attention to detail
• Ability to collaborate cross-functionally with, and communicate complex regulations to, business partners

 

Please note this job description does not include a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this role. Duties, responsibilities, and activities may change at any time with or without notice.

Sr. Internal Auditor

Resource One Credit Union

Dallas, Texas

December 4, 2020

 

Contact Information

Krystal Bowen
Krystal.Bowen@r1cu.org

Purpose of the job:
Resource One Credit Union is experiencing tremendous amount of growth, and is on track to double in size over the next six years. Are you seeking a challenging opportunity in a growing credit union? If so, Resource One Credit Union is looking for you! We are seeking a talented and collaborative Senior Internal Auditor to join our audit team.

The Senior Internal Auditor is responsible for auditing lending, savings, compliance and other thrift related activities.

Prepares reports of all audits in accordance with guidelines approved by management and outside independent audit firm.

Makes recommendations of improving and strengthening internal controls and operating procedures.

Primary Responsibilities:
• Lead audit work as auditor in charge, as requested.
• Provide independent reviews and evaluations of company operations.
• Determines that established policies and procedures are set in the Operating Guide, are being complied with consistently.
• Lead and or perform issue validation audit work to validate that issues have been appropriately addressed in a sustainable manner.
• Communicate timely with executive management across all levels to include the compiling and presentation of relevant findings.
• Reviews periodically computer reports/programs and recommends changes in existing programs or advises the implementation of new programs.
• Participates in the continuous improvement of audit processes, including identification of continuous auditing opportunities.

Required Education & Skills:
• Bachelor’s degree in Accounting, Business, Finance or related field.
• Active certification as a Certified Internal Auditor (CIA) or Certified Anti-Money Laundering Specialist (CAMS) would be a plus but is not required.
• Five to ten years of similar or related experience, including time spent in preparatory positions.
• Strong interpersonal, leadership, and communication (both written and oral) skills.
• Ability to perform basic and intermediate math skills
• Thorough knowledge of internal audit functions of a financial institution, including normal operating procedures, state and federal regulations, rules and laws, including but not limited to; BSA/AML/OFAC compliance, and GAAP
• Ability to work as a leader or participant of cross-functional teams or as an individual contributor.
• Unquestionable business and personal integrity and values congruent with those of the organization.
• Results-driven, outcome-oriented leadership style with a high degree of energy and work ethic that suggests personal drive and dedication.
• Be able to travel within departments and from branch to branch as needed to complete audit programs, research and special projects.

VP of Compliance & BSA Officer

State Bank of Texas

Irving, Texas

November 9, 2020

 

Contact Information

Janna B. Hayes
jhayes@statebnk.com
https://statebnk.com/
972-252-6000

The VP / Sr. Compliance Officer plans, conducts and reviews of all banks activities and assesses the internal controls, operations, and administrative functions for efficiency and effectiveness. Reviews and monitors policies and procedures to ensure compliance with federal and state banking regulations as well as internal policies. Must have strong knowledge of BSA/AML regulations. Experience with high-risk money services business (MSB) accounts is required.

• The VP of Compliance & BSA Officer t is responsible for maintaining a current knowledge of BSA, AML and OFAC regulations and all bank related compliance regulations. This person will also use monitoring application systems, maintain investigation files, and conduct periodic assessments of the departments for compliance. Prepare BSA/AML Risk Assessment by identifying the risk profile of the Bank and analyzing the information to better assess the risks identified and mitigate any gaps in control
• Oversee the preparation, research and filing of SARs and CTRs.
• This position will serve on the Compliance committee and the IT Steering Committee.
• Assign and monitor annual BSA training and all other Compliance training to Board and Employees.
• Meet and discuss with Examiners and Auditors regarding BSA program and compliance.
• Review all projects for BSA and compliance related issues.
• Responsible for monitoring effectiveness of Identity Theft Program and providing updates to Board of Directors.
• This position is responsible for monitoring all bank regulations and create/change policies and/or procedures for new or updated regulations.
• Will be responsible for monitoring/changes of all disclosures for compliance with Federal and State regulations. Reviews product and service disclosures and advertising materials for compliance with applicable rules
• Develop and present new compliance training sessions on current and new regulations.
• Oversee a staff of 5.
• Conduct due diligence on new MSB applications, establish and direct ongoing monitoring activities for those MSBs based upon risk.

7 to 10 years’ experience in banking with 3 to 5 years compliance experience.
Strong computer skills: Advanced skill level in Microsoft Excel; Experience with Microsoft Word and PowerPoint. Experience with industry related systems/software.
Must have strong data analysis skills. Bachelor’s degree, CRCM and or CAMS preferred.

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