On-Site Regulatory Exams Coordinator

Westlake Services, LLC; Las Vegas (NV); On-site; USD 85,000 - 110,000; Full time

Benefits offered by this job

Medical, Dental, and Vision benefits

401K matching

Paid vacations

Job summary

Westlake Services, LLC in Las Vegas, NV seeks a Regulatory Compliance Exam Specialist for on-site duties. You will coordinate state and federal regulatory examinations, respond to regulator requests, and develop corrective actions addressing deficiencies cited in reports.

You will partner with the CCO and compliance counsel to validate issues, prepare internal reports, and present root-cause analyses to leadership. Bachelor's required; auto finance exposure preferred.

Qualifications

• Basic knowledge of multi-state regulatory requirements for auto finance.
• Basic knowledge of Consumer Financial Protection Laws.
• Strong communication skills (verbal, writing) including the ability to communicate professionally with state and federal regulators and upper management.
• Superior interpersonal skills and teamwork awareness.
• Demonstrated understanding of learning & development principles.
• Must be able to handle multi-tasking of projects and manage priorities in fast paced environment.
• Detail Oriented.

Responsibilities

• Help provide responses to state and federal requests for information.
• Coordinate state and federal regulatory examinations from agencies such as CFPB, DOJ, FTC, SEC, NY DFS, DBO, TX OCCC and others.
• Develop and implement corrective actions to resolve cited exceptions from examinations.
• Schedule follow up internal audits to monitor and maintain effectiveness of corrective actions.
• Provide written responses to exception reports and ongoing audit results to regulators.
• Prepare internal reports and summaries on incidents of non-compliance with legal, regulatory and policy requirements.
• Develop and present Root Cause Analysis with Corrective Action Plans to the compliance board and board of directors.
• Work with the Chief Compliance Officer and Regulatory Compliance Counsel to validate cited exceptions before remediation.

Education

Bachelor’s Degree in Business related discipline

Tools

Daybreak

MS Office Suite

Job description

Westlake Services, LLC in Las Vegas, NV seeks a Regulatory Compliance Exam Specialist for on-site duties. You will coordinate state and federal regulatory examinations, respond to regulator requests, and develop corrective actions addressing deficiencies cited in reports.

You will partner with the CCO and compliance counsel to validate issues, prepare internal reports, and present root-cause analyses to leadership. Bachelor's required; auto finance exposure preferred.