Regulatory Exam Coordination and Corrective Action Lead

Westlake Financial Services; Los Angeles (CA); On-site; USD 60,000 - 80,000; Full time

Benefits offered by this job

Medical, Dental, Vision

401K matching

Employee Stock Ownership Program

Wellness Programs

Paid vacations

Paid sick days

Paid holidays

Metro reimbursement (LA)

Job summary

Westlake Financial Services seeks a Compliance professional to serve as the main contact for state and federal regulatory examinations, coordinating responses and corrective actions to address deficiencies. The role requires timely handling of urgent requests and close collaboration with regulators and internal teams.

Responsibilities include developing remediation plans, drafting regulator responses, and conducting root-cause analyses to strengthen compliance.

Qualifications

• Bachelor’s degree in Business related discipline.
• Preferred to have at least three years previous experience in the auto finance industry.
• Strong communication skills (verbal, writing) including the ability to communicate professionally with regulators and upper management.

Responsibilities

• Act as point of contact for state and federal regulatory examinations.
• Coordinate examinations with agencies such as CFPB, DOJ, FTC, SEC, NY DFS, DBO, TX OCCC.
• Develop and implement corrective actions to address cited deficiencies.
• Schedule internal audits to monitor effectiveness of remediation.
• Provide written responses to regulator reports and audit results.
• Prepare internal reports on non-compliance incidents.
• Develop Root Cause Analysis and Corrective Action Plans for the compliance board and directors.
• Collaborate with CCO and Compliance Counsel to validate cited exceptions before remediation.

Skills

Regulatory knowledge

Communication skills

Interpersonal skills

Detail oriented

Multitasking

Learning & development

Education

Bachelor’s Degree in Business

3 years auto finance experience

Tools

Word

Excel

Outlook

PowerPoint

Vision

Daybreak

Job description

Westlake Financial Services seeks a Compliance professional to serve as the main contact for state and federal regulatory examinations, coordinating responses and corrective actions to address deficiencies. The role requires timely handling of urgent requests and close collaboration with regulators and internal teams.

Responsibilities include developing remediation plans, drafting regulator responses, and conducting root-cause analyses to strengthen compliance.