Regulatory Compliance Exam Lead

Westlake Financial; Dallas (TX); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Medical, Dental, and Vision benefits

401K matching

Career Path Opportunities

Wellness Programs

Paid vacations & holidays

Job summary

Westlake Financial is seeking a Regulatory Compliance Exam Specialist to act as the primary liaison for state and federal regulatory examinations in a fast-paced environment. This on-site role in Dallas, TX focuses on addressing deficiencies and meeting time-sensitive deadlines.

Responsibilities include coordinating examinations with agencies such as CFPB and NY DFS, developing corrective actions, and reporting outcomes to regulators and the compliance board.

Qualifications

• Knowledge of multi-state regulatory requirements and Consumer Financial Protection Laws.
• Ability to communicate professionally with state and federal regulators and upper management.
• Experience coordinating regulatory examinations with agencies such as CFPB, DOJ, FTC, SEC, NY DFS, DBO, TX OCCC.

Responsibilities

• Provide responses to state and federal requests for information.
• Coordinate regulatory examinations across multiple agencies.
• Develop and implement corrective actions to resolve cited deficiencies.
• Schedule internal audits to monitor remediation effectiveness.
• Prepare reports and summaries for regulators.
• Develop Root Cause Analysis and Corrective Action Plans for the board.
• Collaborate with the Chief Compliance Officer to validate findings before remediation.
• Partner with business units to design and maintain monitoring policies ensuring legal compliance.

Skills

Regulatory knowledge

Regulatory communications

Multi-tasking

Attention to detail

Strategic thinking

Education

Bachelor's Degree in Business or related field

Tools

MS Office

Job description

Westlake Financial is seeking a Regulatory Compliance Exam Specialist to act as the primary liaison for state and federal regulatory examinations in a fast-paced environment. This on-site role in Dallas, TX focuses on addressing deficiencies and meeting time-sensitive deadlines.

Responsibilities include coordinating examinations with agencies such as CFPB and NY DFS, developing corrective actions, and reporting outcomes to regulators and the compliance board.