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Senior Director, Compliance Risk

Company: Freedom Financial Network
Location: Tempe
Posted on: April 9, 2021

Job Description:

Legal Tempe, Arizona San Mateo, California Las Vegas, Nevada Denver, Colorado Salem, Oregon Salt Lake City, Utah Seattle, Washington Austin, Texas Los Angeles, California San Diego, California Dallas, Texas Houston, Texas We're growing and adding a new role to our Enterprise Compliance and Risk Team. The Sr. Director Compliance Risk will be a subject matter expert tasked to develop, execute, and sustain enterprise-wide programs, policies, and procedures. This position will work across Freedom Financial Network and its multiple consumer product offerings. The Director Compliance Risk will provide guidance to business leaders and insight to our Executive Team on internal compliance and risk matters. Our ideal candidate brings experience and knowledge in the following: Develop, execute, and sustain Enterprise Compliance Risk programs including but not limited to:

  • Regulatory Relations and Licensing Management
  • Audit and Exam Management
  • Regulatory Change Management THE ROLE:
    • Provide guidance to senior officers and managers on licensing activity, internal audit, external exams, and regulatory change management
    • Summarize and report regularly on key activity within the program and escalate gaps and concerns to the Head of Compliance
    • Develop and manage the Regulatory Oversight and Change Management team
    • Establish, maintain and leverage relationships with other functional areas, including Second Line Compliance and Risk, Product, Business Controls, Marketing, Sales, Legal, Human Resources and business units to direct activities to promote an effective and synchronized approach to Enterprise risk management
    • Coordinate activity and interact with regulators and other third party auditors in collaboration with the Head of Compliance and Risk and Sr. Leaders
    • Advise on compliance with laws and regulations for applicable programs, including consulting on the design and implementation of key performance indicators, key risk indicators and business changes to provide tactical regulatory/compliance and ensure consistent framework, standards and risk tolerances are followed in accordance with Enterprise Risk and Compliance expectations
    • Proactively identify and communicate deficiencies or gaps with regulatory compliance; provide guidance in the development of alternative solutions or implementation of corrective action
    • Support Compliance and Risk partners to identify potential control weaknesses and making recommendations to strengthen
    • Track and understand the changing regulatory environment to ensure policies, procedures and key stakeholders are kept current
    • Partner with compliance/risk partners and business leaders to ensure timely identification, reporting, mitigation and resolution and of existing and emerging compliance and operational risks
    • Work to simplify the legal, regulatory, and risk management requirements that business teams must satisfy and develop strategies to support the efficient implementation of those requirements. Use data to support testing efforts and risk assessment; leveraging data analytics
    • Collaborate with the Legal Department to assess applicability and risk level of new/updated laws, rules and regulations.
    • Participate in Enterprise initiatives and projects, demonstrate agility to shift priorities as needed REQUIREMENTS/CHARACTERISTICS:
      • 10 years of progressively relevant experience in Risk, Compliance, Audit, or other oversight function
      • Bachelor's Degree
      • Experience hiring, building, and leading a team of Risk, Compliance, or Audit professionals
      • Demonstrated ability to communicate and present topics clearly to diverse audiences
      • Prior experience interacting with external regulators and third party audit providers
      • Familiarity with GRC applications, Microsoft Office, and other software
      • Ability to prioritize and be agile in a fast moving, complex environment CULTURAL FIT (Our Core Values):
        • Care (for everyone): We show compassion and contribute to the well-being and growth of those around us. We only pursue products that improve the financial lives of our clients.
        • Act with Integrity (every time): We take the right action even when it is hard and even when no one is watching. We treat our employees, clients, and communities the way they wish to be treated.
        • Get Better (every day): We innovate, iterate, and improve each day. We are creative, take thoughtful risks, and ultimately learn and recover from failures.
        • Collaborate (with everybody): We strive to work together toward a common purpose by proactively sharing information and inviting participation. We recognize the perspective of various groups and embrace healthy, constructive debate. WHY JOIN THE FREEDOM FAMILY?
          • Fast, continued growth - there's a lot of opportunity for advancement
          • Voted a Phoenix Best Place to Work 9 times by our employees including the #1 spot for 2 years in a row!
          • Benefits start within 30 days
          • 401k with employer match
          • Flexible time off - no annual cap
          • Paid time off for volunteer work and on your birthday WHO WE ARE: Freedom Financial Network is a family of companies that takes a people-first approach to financial services, using technology to empower consumers to overcome debt and create a brighter financial future. The company was founded in 2002 by Brad Stroh and Andrew Housser on the belief that by staying committed to helping people, you can ensure better financial outcomes for both the customer and the business. This Heart + $ philosophy still guides the vision of our growing company, which has helped millions of people find solutions for their financial needs. What began with 2 people in a spare bedroom has now rapidly expanded to a vibrant business that employs over 2,200 employees (known internally as The Freedom Family) in two locations: San Mateo, CA and Tempe, AZ. When you visit either of our offices, you'll understand why our employees have voted us the Best Place to Work for the last several years. It's a place where the Heart + $ philosophy continues to thrive, where we believe that success is only achieved by doing what's right for our customers, our employees, and our communities. In order to create brighter futures for our clients, employees, and businesses, Freedom Financial Network holds itself to four core values that have grown out of our Heart + $ philosophy: to care for everyone around us, act with integrity every time, collaborate with everybody we work with, and get better at what we do every day.

            Attention Agencies & Search Firms: We do not accept unsolicited candidate resumes or profiles. Please do not reach out to anyone within Freedom Financial Network (FFN) to market your services or candidates. All inquiries should be directed to Talent Acquisition only. We reserve the right to hire any candidates sent unsolicited and will not pay any fees without a contract signed by FFN's Talent Acquisition leader. You have been redirected to a Freedom Financial Network job page

Keywords: Freedom Financial Network, Tempe , Senior Director, Compliance Risk, Executive , Tempe, Arizona

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