VP, Enterprise Compliance Officer

Position Summary

The VP, Enterprise Compliance Officer role provides support to the EVP, Enterprise Risk and Compliance in managing the compliance program within the Company.  The VP, Enterprise Compliance Officer will be responsible for managing all aspects of the Company’s compliance program including program management, risk assessment, control assessment, regulatory change management and complaint management.  The ideal candidate will embrace change, influence a positive culture of compliance throughout the Company, and adapt the compliance program to fit our unique risk profile and growth.  This role will report to the EVP, Enterprise Risk and Compliance and will interface extensively with legal in the execution and oversight of the compliance program.  

• Manage and update the compliance program for the Company - focusing on federal and state laws, regulations, and guidance.

• Review and advise on the creation of policies, procedures and disclosures as needed for adherence with applicable laws, regulations and guidance.  Develops policies and processes necessary to administer an effective compliance program.

• Maintain a compliance monitoring program that identifies high risk regulatory issues and ensures issues are escalated and proactively addressed.

• Perform routine compliance assessments of Company business units, regulatory changes, enforcement actions, third parties, and new products and initiatives in order to identify, escalate and mitigate emerging regulatory risks.

• Prepares and presents compliance reports related to regulatory adherence and risks to appropriate committees.

• Assist in the management and completion of regulatory exams and external audits

• Assesses regulatory training needs across the Company and partners with training and business unit leaders to meet those training related matters.

• Builds and maintains close working partnerships with internal stakeholders to ensure they seek advice and counsel when needed on compliance needs.

• Represent compliance with internal and external stakeholders (business unit leaders, regulators, etc.) fostering collaborative partnerships that promote a culture of compliance across the Company

• Be an excellent communicator, with the ability to breakdown complex requirements into easy-to-understand and practical systems.

• Demonstrate solution-oriented compliance judgement

• Be comfortable operating in a highly regulated, dynamic, and sometimes ambiguous environment.

• Enjoy collaborating with talented professionals across many disciplines - product, design, engineering, legal, marketing and more.

The successful candidate will possess regulatory and compliance management skills.  Additionally, the ideal candidate should possess the following:

• Bachelor’s degree and/or a combination of knowledge, experience and skills sufficient to perform the role

• 7+ years of demonstrated experience with developing and/or maintaining a strong compliance management program.

• 5+ years or more of experience in understanding laws and regulations and applying them across an enterprise.

• Certified Regulatory Compliance Manager (CRCM) certification or other applicable/relevant certifications or licenses helpful but not required.

• Knowledge of or experience in the financial technology industry preferred.

• Knowledge of the transportation shipping and/or logistics factoring industry is not required but is a plus.

• Influence - Identifies and maintains strong relationships with key stakeholders; Seeks to understand the goals and challenges of stakeholders; Able to effectively communicate and drive progress on initiatives; Build commitment and overcome resistance.

• Adaptability - Changes approach or method to best fit the situation - while maintaining regulatory risk within company appetite; Comfortable and humble enough to absorb new information and evolve direction as needed.

• Strategic Thinking - Develops compliance strategies that align with strategic objectives; Considers both short-and-long-term impacts; Maintains awareness of industry best practices and trends.

• Data Driven - Biased toward drawing conclusions based on data and facts; Focused on identifying and collecting data to make decisions; Able to synthesize data to influence decision-makers.

• Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Develops alternative solutions while balancing regulatory risk.

• Quality - Demonstrates accuracy and thoroughness; Looks for ways to improve and promote quality; Applied feedback to improve performance; Monitors own work and work of others to ensure quality.

• Evidence of leadership abilities, a strong work ethic, detail-oriented and organizational skills.

• Results driven and self-motivated

• Excellent written and oral communication skills

• Defines problems and proposes solutions

• Works well under pressure

• Consistently strives to exhibit TRIUPMH values

The work environment characteristics described here maybe encountered while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Moderate noise (i.e. business office with computers, phone, and printers, light traffic).

• Ability to work in a confined area.

• Ability to sit at a computer terminal for an extended period of time. Occasional stooping or kneeling may be necessary.

• While performing the duties of this job, the employee is regularly required to stand, sit, talk, hear and use hands and fingers to operate a computer keyboard and telephone.

• Specific vision abilities are required by this job due to computer work.

• Light to moderate lifting is required.

• Regular, predictable attendance is required.

• Ability to travel as required

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