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Compliance Principal - Bank

Company: USAA
Location: Denton
Posted on: August 26, 2020

Job Description:

Purpose of Job We are currently seeking a talented Compliance Principal - Bank for one of the following locations: Remote, Plano Legacy, Phoenix Campus or San Antonio Home Office I.

Provides second-line independent oversight and guidance regarding business products, services, and processes through a compliance framework to ensure they are executed in accordance with regulatory requirements. In partnership with the business and key stakeholders, continuously drives a strong culture of compliance and demonstrates integrity and professional judgment in protecting the interests of USAA and its members. Job Requirements ABOUT USAA

USAA knows what it means to serve. We facilitate the financial security of millions of U.S. military members and their families. This singular mission requires a dedication to innovative thinking at every level.

In each of the past five years, we've been a top-40 Fortune 100 Best Companies to Work For®, and we've ranked among Victory Media's Top 10 Military Friendly® Employers for 13 years straight. We embrace a robust veteran workforce and encourage veterans and veteran spouses to apply.

See what it's like to work for a company where your passion meets our purpose:

USAA Careers


Develops, implements, and administers Bank Compliance Risk Management Programs, Policies and Procedures.

Designs, evaluates, and drives compliance behaviors, ensuring compliance with all applicable laws and regulations

Responsible for incorporating appropriate policies procedures and controls into the compliance program to mitigate risk exposure

Serves as the Subject Matter Expert and participates on strategic planning regarding issues and/or risks related to financial services compliance, such as development of compliance policies, procedures, risk identification, and control methodologies to ensure adherence and enforcement of applicable legal and regulatory requirements

Maintains expert knowledge of bank compliance, and stays abreast of new and amended laws and regulations impacting the business, including Servicemembers Civil Relief Act (SCRA), Military Lending Act (MLA), Regulation Z (TILA), Regulation X (RESPA), Regulation F (FDCPA), Regulation V (FCPA), Unfair, Deceptive or Abusing Acts or Practices (UDAAP), etc., to ensure the Bank incorporates evolving requirements and expectations in to practices and/or procedures.

Serves as point of contact for federal and state regulatory agencies for compliance matters

Serves as a key advisor to the Bank Compliance Officer on compliance and regulatory efforts

Leads significant Bank Compliance initiatives that may impact and/or benefit the successful implementation of the Bank Compliance Risk Management Program to include analysis of business impact/operational risk assessment for enacted laws/regulations and recommended company compliance actions to ensure regulatory compliance

Responsible for developing and implementing training related to Bank regulation? across all levels of the organization to support a strong compliance culture. Shares technical expertise to compliance professionals’ for development of technical acumen regarding Bank compliance laws and regulations and provides direction on highly complex and unique Bank issues.

May serve as a proxy for the Bank Compliance Officer in senior leadership forums as appropriate


Bachelor's degree required OR 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree

10 years of Bank Compliance Risk Management experience to include 6 years experience in overseeing, advising and providing guidance on bank laws, rules and regulations, and related policies and procedures.

Demonstrated subject matter expertise of financial services regulations, laws, regulations and regulatory expectations practices and emerging trends

Extensive experience applying Bank compliance laws, rules, and regulations including relevant industry best practices and subject matter expertise across a broad range of Bank and financial products and services to meet regulatory guidelines.

Experience interacting with legal counsel, regulators, and examiners on compliance issues

Ability to build rapport with key partners and interface with businesses and functions in order to facilitate the successful implementation of Compliance Risk Management Programs

Executive-level business acumen in the areas of Bank operations and Bank industry practices

Extensive experience providing guidance and oversight to mitigate an organization’s exposure to risk.


Midsize and/or Large Financial Institution Experience

Commissioned Bank Examiner with OCC or CFPB

The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.

At USAA our employees enjoy one of the best benefits packages in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs.  Additionally, our career path planning and continuing education will assist you with your professional goals.

Relocation assistance is available for this position.

Keywords: USAA, Denton , Compliance Principal - Bank, Other , Denton, Texas

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