Supervisor, Compliance

Overview

Summary/Objective

The Compliance Supervisor is responsible for monitoring and analysis of ACA’s compliance and operational policies and procedures to ensure they are effectively implemented.  Serving the company’s mission of providing customers with reliable and affordable transportation in a fair and transparent manner, the position will provide leadership over the transactional and process analysis to support the company’s compliance implementation, administration, and monitoring programs.

 

Essential Functions

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Assist in developing and communicating the objectives and best practices for execution and implementation of key compliance policies including but not limited to Fair Lending, UDAAP, and Complaints Management.
• Assist in the creation and execution of compliance and/or continuous improvement of current state processes.
• Assist in implementing policies and programs that encourage staff to report suspected fraud, impropriety, or non-compliance.
• Assist in the development, management and implementation of comprehensive compliance monitoring and corrective action processes, including:
  • Call monitoring and account level review.
  • Corrective action and resolution procedures.
  • Investigation and root cause of disputes and complaints; coordination of action plans with applicable departments.
  • Assistance in design, development, and administration of compliance reporting system.
• Actively participate in corporate projects and initiatives including design, requirements, and UAT.
• Review and maintain spreadsheets to show summaries, key trends, comparisons, and exceptions.
• Lead special requests that mitigate compliance and customer experience goals, and other tasks as assigned.
• Facilitate meetings and engage with internal stakeholders to enhance processes.
• Create tickets for internal control updates for legal changes to guarantee adherence to law.
• Supervise and nurture staff development, recommending relevant training programs.
• Distribute monthly day-to-day responsibilities among team members.
• Assess staff skill sets and delegate tasks accordingly.
  • Other tasks as assigned.

 

 

Qualifications

• 1+ years of experience as a supervisor in the auto finance or equivalent consumer finance industry is preferred
• Bachelor’s degree preferred but not required
• Experience in evaluating and communicating regulations and policies and has a working knowledge of consumer lending regulations, including but not limited to Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, Unfair, Deceptive or Abusive Acts or Practices Act, Truth-In-Lending Act, Fair Credit Reporting Act, Fair Debt Collection Practices Act, Equal Credit Opportunity Act, and Gramm-Leach-Bliley Act
• Excellent computer skills including Microsoft Office (Outlook, Word, Excel, PowerPoint), Windows, SQL, internet navigation, and an ability to learn new systems
• SharePoint experience preferred
• Excellent analytical skills, strong sense of organization, and an ability to communicate clearly with internal stakeholders
• Communicating clearly and concisely to individuals from various backgrounds
• Familiarity with root cause analysis methods
• Familiarity with quality assurance practices
• Ability to work in a fast paced, entrepreneurial environment
• Must be a self-motivator while actively participating in a team environment
• Ability to prioritize and manage multiple responsibilities
• Flexibility and openness to change
• Influencing others in both verbal and written communication
• Hunger to learn and grow

Supervisory Responsibility

This position will supervise a team of up to 6 Compliance Specialists and/or Quality Assurance Analysts.

 

Work Environment and Physical Demands

This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, photocopiers, filing cabinets and fax machines.

 

Position Type/Expected Hours of Work

This is a full-time, in-office position with a work schedule of Monday-Friday with some schedule variations as needed.

 

Travel

This position may require travel.

 

EEO Statement

ACA provides equal employment opportunities (EEO) to all applicants for employment without regard to race, color, religio