Associate. Director, Regulatory and Conflicts Compliance

Core Job Summary

The Associate Director, Regulatory and Conflicts Compliance acts as the primary point of contact with regulators and manages the inquiry and examination process. The incumbent makes regulatory submissions, filings, notifications and disclosures to regulators. Moreover, the incumbent addresses compliance-related questions and issues from staff, and provides advice in enhancing policies, procedures and controls. The Associate Director, Regulatory and Conflicts Compliance analyzes, investigates and handles conduct-related complaints and internal incidents.

• Provides advice and guidance to line of business, operational and other support/control functions.
• Conducts internal reviews and investigations designed to analyze and resolve internal incidents, and complaints from third parties, relating to a breach of a law, rule regulation or internal compliance requirements.
• Participates or leads in projects or initiatives designed to enhance the compliance control environment.
• Supports the examination and inquiry process. Supports regulatory filing obligations.
• Participates in compliance risk assessments and operational risk assessments.
• Develops strong, positive and constructive relationships with regulators, Compliance colleagues and other internal stakeholders.
• Establishes and continuously assesses the effectiveness of the internal controls within the unit and compliance with University policies and procedures. Ensures employees are trained on controls within the function and on University policy and procedures.

This list of duties and responsibilities is not intended to be all-inclusive and may be expanded to include other duties or responsibilities as necessary.

• Bachelor’s degree in relevant field required. Juris Doctor (JD) preferred
• Minimum 5 years of relevant experience required; 7 years preferred
• Strategic Alignment:
  Skilled in aligning departmental goals with enterprise-wide strategy and develops comprehensive strategic plans.
• Financial Management:
  Ensures fiscal responsibility, and optimization of financial performance.
• Resource Management:
  Ability to allocate resources and drive innovation and growth.
• Adaptability:
  Proven ability to adjust to changes and leads/inspires transformational change.
• Team Leadership:
  Ability to build and lead high-performing teams, manage complex projects, and ensure successful project delivery.
• Technology & Analytics:
  Understanding of technology, data analytics, and performance measurement to drive strategic decisions and identify opportunities.
• Communication:
  Ability to influence others, articulate strategic vision, and ensure clear and persuasive communication.

Any appropriate combination of relevant education, experience and/or certifications may be considered.

The University of Miami offers competitive salaries and a comprehensive benefits package including medical, dental, tuition remission and more.

The University of Miami is an Equal Opportunity Employer. Applicants and employees are protected from discrimination based on certain categories protected by Federal law.

Full time

Staff