Director, Regulatory Compliance
Q2 is seeking a Director of Regulatory Compliance who will report to the Chief Compliance Officer. He or she is an internal specialist who collects, reviews information and controls from business units as they relate to FFIEC examination, internal audits, ACH Audits, PCI audits, SOC 1 and SOC 2. The selected candidate will work closely with the CCO to ensure that the compliance program is effective in identifying applicable regulations. Work closely with senior management to create and update policies to ensure they are in-line with current regulatory requirements.
RESPONSIBILITIES:
- Coordinate efforts related to audits, exams and reviews.
- Build and maintain key relationships serving as a coordination point between business units and compliance.
- Maintain a proficient knowledge of Federal banking laws and regulations, Privacy requirements and ACH rules.
- Gather documentation and supporting evidence in preparing for audits and examinations.
- Work with management to enforce the regulatory compliance program, coordinates with officers and executives to conduct regulatory audits and examinations in accordance with the program.
- Ensure internal documents are compliant with established guidelines and standards.
- Review and Update client portal compliance documentation with Policies, Due Diligence Documentation, and Compliance Documentation
- Ensure all security, availability, confidentiality, process integrity, privacy policies and controls are adhered too.
- Ensure standard, metric and adherence to Q2 policies and procedures.
- Participate in Product 360 initiatives to ensure all new products meet Q2’s standards for Security, Audit, Risk and Compliance.
EXPERIENCE
- Bachelor’s degree in Finance, technology, pre-law, or other related field.
- Minimum of 12 years of related experience and 5-7 years managing/developing employees.
- 5-7 years in a financial institution, FS (Financial Services) audit role or FS regulatory compliance experience.
- Ability to work both independently and effectively within a team environment to ensure individual and departmental objectives are accomplished
- Ability to interpret and analyze data from various sources to accurately maintain various data files
- Experience with Microsoft Office (Outlook, Word, Excel, PowerPoint), Microsoft Visio and Microsoft Project.
- Proven experience to effectively coordinate short-term projects to relieve managers and/or other staff of associated administrative responsibilities
- Experienced project management skills, with the ability to relate well to people from diverse backgrounds; work as a part of a team and in a collaborative manner with staff, peers, and supervisor.
- Read and interpret complex documents, such as regulatory agreements and compliance regulations.
- Proven experience working in a complex and changing organization.
- Ability Communicate clearly, both verbally and in writing, including the ability to provide technical assistance on complex compliance issues in a simple, straightforward manner.
- Experienced with Audit Board or similar Validation of Control tools.
- Experience in Policy Management a plus.
At Q2, our goal is to be a diverse and inclusive workforce that fosters mutual respect for our employees and the communities we serve. Q2 is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status.