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Senior Compliance Officer - Advisory and Guidance - Phoenix Arizona
Company: Disability Solutions Location: Phoenix, Arizona
Posted On: 05/04/2024
Job Title:Senior Compliance Officer - Advisory and GuidanceLocation:CityScapeWhat you'll do:The Advisory Senior Compliance Officer serves as a key subject matter expert in ensuring lines of business compliance with applicable regulatory requirements. This role provides second-line independent oversight and guidance regarding business products, services, and processes to ensure Western Alliance Bank complies with applicable laws, rules, and regulations. The Advisory Senior Compliance Officer will partner with the business and key stakeholders to drive a strong culture of compliance and demonstrates integrity and professional judgment in protecting the interests of Western Alliance Bank. The Advisory Senior Compliance Officer assists the Advisory Compliance Manager in communicating and implementing changes to the Compliance Policy, Program and Procedures as needed to improve compliance, or as required by amendments to the regulations.What we are looking for: Responsibilities: - Provide subject matter expertise and guidance on state and federal compliance laws and regulations to strengthen processes, procedures and controls for the lines of business.
- Stay current with industry best practices and guidance relating to regulatory compliance.
- Partner with the lines of business to understand compliance impacts on changes to product offerings and business changes.
- Actively participates in Compliance Department meetings by providing topics for discussion and reporting on areas of weakness identified through the monitoring and testing program or other compliance concerns that may periodically arise.
- Ensure internal records used to track issues and action plans are kept up-to-date.
- Track remediation of identified issues to ensure timely implementation by the line of business.
- Maintain proactive and effective relationships with First Line of Defense stakeholders in order to gain insight into compliance risks associated with line of business activities, objectives, practices, processes, and overall control environment.Qualifications:
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