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Director of Compliance

By July 24, 2019May 18th, 2021No Comments

Job Description:

The Director of Compliance will lead the compliance team for all entities and is responsible for owning and implementing the Company’s operational risk management framework. This role will be expected to effectively challenge the businesses’ operational risk and compliance management activities and providing senior management with an independent assessment of businesses’ operational risk profile while identifying new and emerging operational risk themes based on internal and external data. This role will be expected to lead the evolution of the entire compliance department as part of company’s broader efforts to enhance its risk management capabilities.



  • Enhance the company’s operational risk management framework, supporting standards and procedures covering identification, measurement, monitoring and management of operational risk
  • Lead the execution of day-to-day responsibilities owned by the Goal Solutions team including, but not limited to:
    • Effectively challenge the businesses’ operational risk oversight activities including completed internal incident reports and scenario analyses; and
    • Tasks owned by the internal compliance and risk team including operational risk deep dives, tracking of business action plans, servicing operations tracking and the production of operational risk reports for senior management
  • Lead efforts (e.g. training, communications) to enhance risk management practices within Goal Solutions and reinforce the company’s broader risk culture
  • Use subject matter expertise and industry knowledge to provide independent oversight and credible challenge of business units operational risk management activities
  • Direct engagement with the business units and control function leaders to promote a strong operational risk culture
  • Active engagement in key front line governance routines inclusive of strategic planning sessions, governance committees and business reviews
  • Review and challenge of risk acceptance decisions and new business initiatives
  • Identify and escalate to senior leadership conflicts with risk management results and expected business outcomes
  • Influence risk management prioritization by the front line to enable the business to meet strategic objectives, while meeting operational risk program expectations
  • Evaluate cross-program and cross-group analytics to identify opportunities and best practices to influence stronger risk management practices by the business
  • Active, routine engagement with senior leaders to ensure information sharing across risk types
  • Develop and deliver content to senior business leaders summarizing the results of the independent risk assessment activities
  • Provide leadership to the Goal Solutions team, in particular:
    • Define deliverables for team members and monitor their execution;
    • Train, coach and develop team members; and
    • Ensuring full compliance with consumer lending regulations, established procedures, and policies of Goal Solutions.
    • Representing and communicating the mission and values of Goal Solutions.
    • Acting as a total team player.
    • Performing ad-hoc assignments, duties and contributing to special projects as assigned.


Education & Other Minimum Requirements:

  • Bachelor’s degree; advanced degree a plus
  • Minimum 10+ years working in the financial services industry, bank or a highly related industry requiring significant risk and compliance controls
  • Experience working with regulatory compliance at a bank a plus
  • Leadership, integrity, and credibility
  • Strong relationship management, influencing, vision and execution skills
  • Analytical skills with the ability to collect, organize, analyze, and disseminate significant amounts of information with attention to detail and accuracy
  • Proven ability to successfully review and challenge business operational risk management practices and outcomes.
  • Proven ability to build and sustain a strong risk culture including a balanced approach through working in cooperation and consultation with all lines of defense across the enterprise.
  • Ability to leverage their experience to bring industry leading standards, practices and tools to the organization.
  • Articulate and possess executive level presentation and communication skills
  • Ability to operate successfully in a complex, heavily matrixed corporate environment
  • Ability to prioritize key deliverables, multi-task and work well under pressure and tight deadlines
  • Strong meeting management and facilitation skills
  • Ability to perform the essential functions of the position with or without accommodations.


The Job Description is intended to be a general representation of the responsibilities and requirements of the job. However, the description may not be all-inclusive, and responsibilities and requirements are subject to change.

Please submit your resume to [email protected]

Brian Cox

Author Brian Cox

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