Regulatory Exam Specialist — Compliance & Remediation

Midway Auto Group; Agoura Hills (CA); Hybrid; USD 60,000 - 80,000; Full time

Benefits offered by this job

Medical, Dental, and Vision benefits

401K matching

Employee Stock Ownership Program

Job summary

Westlake Services, LLC in Agoura Hills seeks a Compliance professional to be the primary contact for state and federal regulatory examinations. You will assist regulators, develop corrective actions, and ensure timely responses to all requests and deadlines.

Responsibilities include coordinating examinations, implementing remediation plans, and presenting root cause analyses to the compliance board. Collaboration with senior leadership and the Chief Compliance Officer is essential.

Qualifications

• Bachelor’s Degree from an accredited College or University in Business related discipline.
• Preferred at least three years experience in the auto finance industry.

Responsibilities

• Answer state and federal information requests.
• Coordinate regulatory examinations with agencies (CFPB, DOJ, FTC, SEC, NY DFS, DBO, TX OCCC, etc.).
• Develop and implement corrective actions for deficiencies cited in examination reports.
• Schedule internal audits to monitor corrective actions and ensure compliance.
• Provide written responses to exception reports and audit results to regulators.
• Prepare internal reports on non-compliance incidents.
• Develop Root Cause Analyses and Corrective Action Plans for the compliance board.
• Collaborate with CCO and Regulatory Compliance Counsel to validate cited exceptions.

Skills

Regulatory knowledge

Communication skills

Interpersonal skills

Learning & development

Multi-tasking

Detail oriented

Education

Bachelor’s Degree in Business

3+ years auto finance experience

Tools

Microsoft Word

Excel

Outlook

PowerPoint

Vision

Job description

Westlake Services, LLC in Agoura Hills seeks a Compliance professional to be the primary contact for state and federal regulatory examinations. You will assist regulators, develop corrective actions, and ensure timely responses to all requests and deadlines.

Responsibilities include coordinating examinations, implementing remediation plans, and presenting root cause analyses to the compliance board. Collaboration with senior leadership and the Chief Compliance Officer is essential.