Regulatory Exam & Compliance Lead

Westlake Financial; Las Vegas (NV); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

401K matching

Life Insurance

Wellness Programs

Paid Vacation Days

Paid Sick days

Paid holidays

Gym (Los Angeles, CA & Dallas, TX)

Job summary

Westlake Financial in Las Vegas, NV seeks a Regulatory Compliance Exam Specialist to coordinate state and federal examinations and support regulators with information requests. You will develop corrective actions, monitor deadlines, and prepare written responses.

Work with the Chief Compliance Officer and Counsel to validate citations, align with multi-state regulations, and implement monitoring policies for regulatory compliance in a fast-paced finance environment.

Qualifications

• Bachelor’s Degree from an accredited College or University in Business related discipline.
• Preferred at least three years experience in auto finance.
• Basic knowledge of multi-state regulatory requirements for auto finance.
• Basic knowledge of Consumer Financial Protection Laws.
• Strong verbal and written communication with regulators and upper management.
• Ability to multi-task in a fast-paced environment and manage priorities.
• Detail-oriented.

Responsibilities

• Respond to state and federal information requests.
• Coordinate regulatory examinations with agencies.
• Develop corrective actions to address findings from examinations.
• Schedule follow-up audits to verify effectiveness of actions.
• Provide written responses to regulators and prepare incident reports.
• Create internal reports summarizing non-compliance incidents.
• Develop Root Cause Analyses and Action Plans for the board.
• Collaborate with CCO and Regulatory Counsel to validate citations before remediation.
• Partner with business units to design and maintain monitoring policies for regulatory compliance.

Skills

Regulatory knowledge

Communication skills

multitasking

Education

Bachelor’s Degree in Business

Tools

Daybreak or similar systems

Job description

Westlake Financial in Las Vegas, NV seeks a Regulatory Compliance Exam Specialist to coordinate state and federal examinations and support regulators with information requests. You will develop corrective actions, monitor deadlines, and prepare written responses.

Work with the Chief Compliance Officer and Counsel to validate citations, align with multi-state regulations, and implement monitoring policies for regulatory compliance in a fast-paced finance environment.