Own, manage and oversee UDAP policy and requirements relating to business client interactions
Ownership and maintenance of internal policy regarding prevention of unfair and deceptive practices
Review of public facing marketing materials of companies in scope
Management and execution of Compliance’s complaint management oversight program
Manage and execute day-to-day code of conduct and business ethics compliance and framework
Managing ethics inbox and hotline, evaluating concerns reported to Ethics Committee
Effectively manage UDAP and code of conduct investigations
Develop employee training, in collaboration with eLearning
Identify and report trends, significant matters and compliance issues
Develop reporting, including charts/analyses to highlight trends, correlations and key issues
Make appropriate recommendations to improve controls and systems
Additional duties as assigned

Bachelor's degree
7+ years compliance experience in financial services or other regulated industries that includes UDAP and ethics related compliance functions
Minimum 7 years compliance program experience (e.g., policies, procedures, training)
5+ investigations and internal reports requiring confidentiality, and executive engagement
Expertise of Compliance and corporate governance laws, rules, regulations, risks and typologies
Ability to analyze and communicate changes in laws, regulations, and rules to senior management, product development and product managers, business partners, and customers
Excellent written, verbal and analytical skills
Experienced presentation skills
Ability to work collaboratively and to navigate a complex organization
Consistently models high standards of honesty and integrity
Experience engaging directly with auditors, reviewers, and regulators
Excellent interpersonal skills
Strategic thinker and tactical executor
Ability to provide leadership and judgment to analyze, evaluate, develop and effectuate solutions to complex problems.
License and Certification (Preferred): Certified Payments Professional (CPP) Certification, Certified Regulatory Compliance Manager (CRCM) or equivalent

Senior Manager, Compliance – UDAP, Ethics

Key skills