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SVP and Compliance Counsel
•30 days ago
| Hours | Full-time, Part-time |
|---|---|
| Location | Carrollton, Texas |
About this job
Requisition ID 2021-11869
Category: Legal/Compliance
Location: US-TX-Carrollton
Overview
The TMX Finance® Family of Companies is looking for a SVP and Compliance Counsel to focus on compliance with federal, state and local laws by implementing and overseeing a comprehensive compliance management program. You will coordinate with the Operations, IT, Legal departments, and outside vendors to support successful operational processes and compliance with federal, state and local laws. Reporting to the Chief Legal Officer, you will collaborate to develop compliance strategies and oversee the Compliance department.
This position is based in-office. The health and well-being of our Team Members, their families, and our customers remain a top priority for us. That's why we've taken a number of steps to help maintain a clean and safe environment where Team Members can thrive, and customers can feel safe. Currently, in our stores and Corporate offices, we're practicing social distancing, encouraging face coverings (unless otherwise required by law), and considering state, local requirements and Center for Disease Control (CDC) guidelines to help ensure a clean and safe environment for all. As the situation evolves, changes may be made to our practices, in line with state and local mandates as well as CDC-guidelines.
Responsibilities
Ability to maintain a full-time work schedule with regular in-person attendance. A full-time work schedule for this position includes, at a minimum, 40-hours per week.
Develop, oversee, and maintain a comprehensive compliance management program including methods to track compliance with policies and procedures. Suggest recommendations for improvement.
Partner with the Chief Legal Officer to manage the Compliance team and develop a Companywide compliance strategy.
Develop policies and procedures designed to support compliance with federal, state and local laws, including product-focused policies and procedures for existing and new states. Examples include, new state implementations, military policy, recovery processes, and competitor buyouts.
Oversee state regulatory compliance by reviewing all state audits, responding in writing to all state audits requiring follow-up, communicating with state regulators on any issues requiring follow-up and maintaining file of all regulatory communication.
Learn aspects of various products and develop appropriate reports to track risk factors on institute risk mitigation policies and practices. Work closely with Legal on other risk mitigation steps to enhance overall compliance.
Act as a primary advocate for the Company's compliance policies, pushing for enhancing as appropriate.
Act as corporate liaison between the field offices, IT Department, and third-party software providers to ensure issues are addressed and reporting concerns are corrected.
Identify emerging compliance trends and best practices related to consumer financial services industry and report on identified compliance needs to the Chief Legal Officer and other leadership.
Develop and maintain effective and positive relationships with other department/team leadership, including Product, Business Operations, and Internal Audit, to facilitate a partnership approach to compliance risk management.
Participate in theft/fraud initiatives and work closely with stakeholders when potential fraud issues are identified.
Coordinate with complaints team in complaint processes, complaint trends and process/product improvements.
Coordinate and oversee development of internal and external software applications for new build business specs, quality assurance, reporting, defect remediation, data dumps, static pool analysis, etc., with Compliance in mind.
Support overall Legal/Compliance Department activities in developing creative solutions to business objectives to assist in driving business results that appropriately consider compliance.
Participate in other Legal and Compliance ad hoc projects and initiatives, including for litigation.
Qualifications
Preferred Qualifications:
Learn More About Us
The SVP and Compliance Counsel is a member of the Legal & Compliance Team, a group of sharp, dedicated professionals providing guidance in interpreting the laws and regulations that govern our industry. To learn more, visit https://www.tmxfinancefamily.com/careers/top-talent/legal-compliance.
Check out what's happening in our Company at https://www.tmxfinancefamily.com/tmx-talks.
The information contained herein is not intended to be an all-inclusive list of the duties and responsibilities of the job, nor is it intended to be an all-inclusive list of the skills and abilities required to do the job. The Company may, at its discretion, revise the job description at any time, and additional functions and requirements may be assigned by supervisors as deemed appropriate. Requirements, skills and abilities included have been determined to illustrate the minimal standards required to successfully perform the position.
All TMX Finance® Family of Companies Are Equal Opportunity Employers.
#LI-KM1
Category: Legal/Compliance
Location: US-TX-Carrollton
Overview
The TMX Finance® Family of Companies is looking for a SVP and Compliance Counsel to focus on compliance with federal, state and local laws by implementing and overseeing a comprehensive compliance management program. You will coordinate with the Operations, IT, Legal departments, and outside vendors to support successful operational processes and compliance with federal, state and local laws. Reporting to the Chief Legal Officer, you will collaborate to develop compliance strategies and oversee the Compliance department.
This position is based in-office. The health and well-being of our Team Members, their families, and our customers remain a top priority for us. That's why we've taken a number of steps to help maintain a clean and safe environment where Team Members can thrive, and customers can feel safe. Currently, in our stores and Corporate offices, we're practicing social distancing, encouraging face coverings (unless otherwise required by law), and considering state, local requirements and Center for Disease Control (CDC) guidelines to help ensure a clean and safe environment for all. As the situation evolves, changes may be made to our practices, in line with state and local mandates as well as CDC-guidelines.
Responsibilities
Ability to maintain a full-time work schedule with regular in-person attendance. A full-time work schedule for this position includes, at a minimum, 40-hours per week.
Develop, oversee, and maintain a comprehensive compliance management program including methods to track compliance with policies and procedures. Suggest recommendations for improvement.
Partner with the Chief Legal Officer to manage the Compliance team and develop a Companywide compliance strategy.
Develop policies and procedures designed to support compliance with federal, state and local laws, including product-focused policies and procedures for existing and new states. Examples include, new state implementations, military policy, recovery processes, and competitor buyouts.
Oversee state regulatory compliance by reviewing all state audits, responding in writing to all state audits requiring follow-up, communicating with state regulators on any issues requiring follow-up and maintaining file of all regulatory communication.
Learn aspects of various products and develop appropriate reports to track risk factors on institute risk mitigation policies and practices. Work closely with Legal on other risk mitigation steps to enhance overall compliance.
Act as a primary advocate for the Company's compliance policies, pushing for enhancing as appropriate.
Act as corporate liaison between the field offices, IT Department, and third-party software providers to ensure issues are addressed and reporting concerns are corrected.
Identify emerging compliance trends and best practices related to consumer financial services industry and report on identified compliance needs to the Chief Legal Officer and other leadership.
Develop and maintain effective and positive relationships with other department/team leadership, including Product, Business Operations, and Internal Audit, to facilitate a partnership approach to compliance risk management.
Participate in theft/fraud initiatives and work closely with stakeholders when potential fraud issues are identified.
Coordinate with complaints team in complaint processes, complaint trends and process/product improvements.
Coordinate and oversee development of internal and external software applications for new build business specs, quality assurance, reporting, defect remediation, data dumps, static pool analysis, etc., with Compliance in mind.
Support overall Legal/Compliance Department activities in developing creative solutions to business objectives to assist in driving business results that appropriately consider compliance.
Participate in other Legal and Compliance ad hoc projects and initiatives, including for litigation.
Qualifications
- Minimum of 10 years of compliance, legal and/or operations experience in a consumer-finance focused environment.
- J.D. degree and a state bar license is required (need not be Texas)
- Personnel management experience
- Significant prior experience in regulatory compliance, including state and federal audits.
- Strong IT systems experience, including requirements building.
- Physical demands for this position frequently include: the ability to remain in a stationary position, move about freely inside and occasionally outside of the office, and the operation of mechanical controls, such as a keyboard.
Preferred Qualifications:
- CRCM
- Experience with quality assurance or user acceptance testing
Learn More About Us
The SVP and Compliance Counsel is a member of the Legal & Compliance Team, a group of sharp, dedicated professionals providing guidance in interpreting the laws and regulations that govern our industry. To learn more, visit https://www.tmxfinancefamily.com/careers/top-talent/legal-compliance.
Check out what's happening in our Company at https://www.tmxfinancefamily.com/tmx-talks.
The information contained herein is not intended to be an all-inclusive list of the duties and responsibilities of the job, nor is it intended to be an all-inclusive list of the skills and abilities required to do the job. The Company may, at its discretion, revise the job description at any time, and additional functions and requirements may be assigned by supervisors as deemed appropriate. Requirements, skills and abilities included have been determined to illustrate the minimal standards required to successfully perform the position.
All TMX Finance® Family of Companies Are Equal Opportunity Employers.
#LI-KM1
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