Auto req ID: 4408BR
Title: Regulatory Compliance Manager
Job Function: Legal
State and City: Illinois, Chicago
Company: Harley-Davidson Financial Services
Full or Part-Time: Full-Time
Job Summary:
Under the leadership of the General Counsel, Associate General Counsel, Senior Corporate Counsel, or Director of Compliance, this position is primarily responsible for:
- Managing and resolving complaint issues related to Harley-Davidson Financial Services (HDFS) and Eaglemark Savings Bank (ESB);
- Departmental and cross-functional project management and facilitation of regulatory compliance efforts;
- Working with business partners in HDFS, and affiliates, as needed, to effect continuous improvement efforts and increase customer satisfaction relating to regulatory compliance; and
- Conducting legal research and analysis for complex issues and marketing campaigns;
- Must be available for travel to Plano, TX and Carson City, NV from time to time to assist in meeting Legal/Compliance needs.
PRIMARY RESPONSIBILITIES
- Independently initiates the review, analysis, and response to regulatory complaints, including making recommendations and determining the appropriate resolution of issues, as appropriate.
- Employs problem-solving skills and exercises independent judgment to influence internal policy and procedural changes on key issues arising from compliance risks and regulatory complaints.
- Communicates directly with regulators and customers
- Proactively manages complaint and compliance risk mitigation initiatives
- Coordinates and negotiates with management in other departments to implement process change and improvements to address regulatory compliance and customer satisfaction issues
- Participates in short-term and long-term planning for complaint management and certain cross-functional business needs within Legal and Compliance
- Conducts complex legal research and analysis for product development and marketing
- Maintains a current awareness and understanding of appropriate banking laws, regulations, internal policies and procedures in order to advise others and comply fully with such laws, regulations, policies and procedures.
- Conducts other legal research as assigned.
- Responsible for protecting employees, customers and corporate information. Follows established physical, electronic and procedural safeguards, including policies regarding data protection, segregation of duties, use of passwords, and access to information based solely on business need. In addition, any company-proprietary information (including but not limited to customer information) may not be transferred or transported outside of HDFS by employees upon leaving the company.
- Maintains a current awareness and understanding of applicable banking and consumer/ commercial financing laws and regulations, and internal policies and procedures, and complies fully with those laws, regulations, policies and procedures.
- Protection of employees, customers and corporate information is everyone's responsibility at HDFS. All employees must follow established physical, electronic and procedural safeguards, including policies regarding data protection, segregation of duties, use of passwords, and access to information based solely on business need. In addition, any company-proprietary information (including but not limited to customer information) may not be transferred or transported outside of HDFS by employees upon leaving the company.
- It is the individual responsibility of every employee to maintain current awareness and understanding of appropriate banking laws, regulations, internal policies and procedures, and to comply with those laws, regulations, policies and procedures.
Education Required:
Bachelors degree
Experience Required:
EXPERIENCE
- Minimum 5 years of financial services or related industry experience
- Experience assessing and responding to reputational / business risk issues
- Project management and/or Continuous Improvement experience (e.g., Six Sigma) with experience leading at least 2 large business projects strongly preferred
- Strong proficiency in MS productivity and project management tools, such as MS Project, Excel, PowerPoint, Outlook and Access. VISIO and overall system application literacy preferred.
- Knowledge of Westlaw and/or other internet legal research tools
SKILLS & ABILITIES
- Excellent research and analytical skills
- Demonstrates specialized knowledge of the laws and regulations relating to specific practice area(s)
- Excellent organizational skills with the ability to plan, organize, delegate and control work with realistic estimates and reporting metrics
- Superior writing skills required
- Strong project management skills
- Proven analytical, problem solving, and decision-making abilities, which includes the ability to make independent decisions, while understanding when to bring certain issues to the attention of senior management for higher level decision-making
- Strong operational and regulatory/legal compliance background required
- Adept at conducting complex legal research on state, federal, and multi-state laws and regulations
- Able to manage and administer multiple projects and deliverables simultaneously
- Excellent skills as a communicator and facilitator, both written and oral, with strong negotiation and conflict resolution skills to effectively deal with issues that may arise with projects, regulators, or others
- Able to operate with autonomy and is self-motivated
- Evaluates business circumstances and makes appropriate legal decisions taking into consideration operation requirements through the alignment of projects and organizational strategies
- Possesses strong teamwork skills and the ability to interact effectively with all levels of staff
Travel: Required 10-25%
Title: Regulatory Compliance Manager
Job Function: Legal
State and City: Illinois, Chicago
Company: Harley-Davidson Financial Services
Full or Part-Time: Full-Time
Job Summary:
Under the leadership of the General Counsel, Associate General Counsel, Senior Corporate Counsel, or Director of Compliance, this position is primarily responsible for:
- Managing and resolving complaint issues related to Harley-Davidson Financial Services (HDFS) and Eaglemark Savings Bank (ESB);
- Departmental and cross-functional project management and facilitation of regulatory compliance efforts;
- Working with business partners in HDFS, and affiliates, as needed, to effect continuous improvement efforts and increase customer satisfaction relating to regulatory compliance; and
- Conducting legal research and analysis for complex issues and marketing campaigns;
- Must be available for travel to Plano, TX and Carson City, NV from time to time to assist in meeting Legal/Compliance needs.
PRIMARY RESPONSIBILITIES
- Independently initiates the review, analysis, and response to regulatory complaints, including making recommendations and determining the appropriate resolution of issues, as appropriate.
- Employs problem-solving skills and exercises independent judgment to influence internal policy and procedural changes on key issues arising from compliance risks and regulatory complaints.
- Communicates directly with regulators and customers
- Proactively manages complaint and compliance risk mitigation initiatives
- Coordinates and negotiates with management in other departments to implement process change and improvements to address regulatory compliance and customer satisfaction issues
- Participates in short-term and long-term planning for complaint management and certain cross-functional business needs within Legal and Compliance
- Conducts complex legal research and analysis for product development and marketing
- Maintains a current awareness and understanding of appropriate banking laws, regulations, internal policies and procedures in order to advise others and comply fully with such laws, regulations, policies and procedures.
- Conducts other legal research as assigned.
- Responsible for protecting employees, customers and corporate information. Follows established physical, electronic and procedural safeguards, including policies regarding data protection, segregation of duties, use of passwords, and access to information based solely on business need. In addition, any company-proprietary information (including but not limited to customer information) may not be transferred or transported outside of HDFS by employees upon leaving the company.
- Maintains a current awareness and understanding of applicable banking and consumer/ commercial financing laws and regulations, and internal policies and procedures, and complies fully with those laws, regulations, policies and procedures.
- Protection of employees, customers and corporate information is everyone's responsibility at HDFS. All employees must follow established physical, electronic and procedural safeguards, including policies regarding data protection, segregation of duties, use of passwords, and access to information based solely on business need. In addition, any company-proprietary information (including but not limited to customer information) may not be transferred or transported outside of HDFS by employees upon leaving the company.
- It is the individual responsibility of every employee to maintain current awareness and understanding of appropriate banking laws, regulations, internal policies and procedures, and to comply with those laws, regulations, policies and procedures.
Education Required:
Bachelors degree
Experience Required:
EXPERIENCE
- Minimum 5 years of financial services or related industry experience
- Experience assessing and responding to reputational / business risk issues
- Project management and/or Continuous Improvement experience (e.g., Six Sigma) with experience leading at least 2 large business projects strongly preferred
- Strong proficiency in MS productivity and project management tools, such as MS Project, Excel, PowerPoint, Outlook and Access. VISIO and overall system application literacy preferred.
- Knowledge of Westlaw and/or other internet legal research tools
SKILLS & ABILITIES
- Excellent research and analytical skills
- Demonstrates specialized knowledge of the laws and regulations relating to specific practice area(s)
- Excellent organizational skills with the ability to plan, organize, delegate and control work with realistic estimates and reporting metrics
- Superior writing skills required
- Strong project management skills
- Proven analytical, problem solving, and decision-making abilities, which includes the ability to make independent decisions, while understanding when to bring certain issues to the attention of senior management for higher level decision-making
- Strong operational and regulatory/legal compliance background required
- Adept at conducting complex legal research on state, federal, and multi-state laws and regulations
- Able to manage and administer multiple projects and deliverables simultaneously
- Excellent skills as a communicator and facilitator, both written and oral, with strong negotiation and conflict resolution skills to effectively deal with issues that may arise with projects, regulators, or others
- Able to operate with autonomy and is self-motivated
- Evaluates business circumstances and makes appropriate legal decisions taking into consideration operation requirements through the alignment of projects and organizational strategies
- Possesses strong teamwork skills and the ability to interact effectively with all levels of staff
Travel: Required 10-25%