Build world-class, fit for purpose, global SBG compliance and regulatory framework and execution strategy to ensure compliance with laws, regulations and best practices that will 1) enable growth, 2) support product and services innovation, and 3) drive customer satisfaction and confidence in our brand for treating the customer fairly. The Director of Global Compliance and Regulatory Affairs Risk will report to the VP/Chief Risk Officer and will establish our overall compliance vision, and serve as our Compliance senior leader internally and externally, with regulators, partners, etc.
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Developing compliance strategy, and implementing appropriate policies and programs designed to ensure compliance with regulatory requirements and best practices.
Assessing and analyzing current compliance functions from an organizational design and talent management perspective, making informed recommendations and decisions in order to build and execute fit-for-purpose compliance practices
Owning global compliance of all money movement activities across small business including: regulatory programs, card association, sponsor bank, and key partner. requirements; NACHA and other network rules; and privacy/data laws and policies.
Overseeing licensing programs associated with Small Business offerings, including Money Transmitter, insurance, and loan brokers
Ensuring company meets global and in-country industry compliance and regulatory standards.
Developing, implementing and sustaining card brand risk management program that provides for card brand, sponsorship and PCI compliance, creates and maintains documentation to ensure execution, and develops and maintains risks and controls that are adequately identified, managed, measured and reported.
Developing and maintaining a risk-based compliance monitoring and testing program to assess effectiveness of controls, key elements of process, frequency, documentation.
Ensuring training is developed, both general awareness and specific to roles, responsibilities and processes; and that it is successfully completed, monitored, tracked, and documented.
Developing and maintaining standards and strategies of the AFT/AML transactions and behavioral monitoring program, and ensuring transaction monitoring system capabilities, including filtering models and training, for identification and reporting of unusual activity.
Ensuring risk assessments are conducted to determine inherent/ residual risks; and that gap analysis are conducted.
Ensuring issue reporting, tracking, action planning, and resolution processes are documented, implemented and sustained
Ensuring tracking and analysis of laws and regulations impacting products, services, processes, and activities; staying current with innovations in payments and money movement, that impact Intuit; and defining requirements and implementation/change strategy
Managing all regulatory and audit examinations and reviews.
Developing audit strategy and oversee third-party and regulatory audit activity for Small Business offerings
Establishing and maintaining processes for adherence to compliance and company records retention policy
Providing advice and guidance to business on a regular basis
Partnering with business in development of products and services
Contributing as an executive leader to SBG and Intuit
Qualifications
20+ years of compliance experience including financial services, payments, legal, regulatory/compliance
10+ years executive leadership experience
5+ years as primary lead in regulatory relations, and managing regulatory examinations, and audits
Experience creating and delivering a risk based approach to compliance risk management strategies and controls that enable business growth
Creative, strategic thinker and decision maker with history of delivering compliance strategies, policies and programs that enable business growth and customer satisfaction.
Experience in supporting the launch of new global products and services.
Experience leading large scale teams and global teams and winning hearts and minds
Proven ability to collaborate with business partners to influence decisions and effectuate change.
Experience leading a global or multi-national team, including in remote locations and sometimes matrixed.
Proven skills in leadership, including strategic planning, and organizational skills in a large global organization.
Experience defining, developing and leading global programs and achieving game changing results
Exceptional collaboration and relationship-building skills … leads and influences across boundaries
Exceptional organizational and analytical skills
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