What are the responsibilities and job description for the Compliance Specialist position at DOWC?
Job Summary:
The Compliance Specialist supports the development and implementation of compliance programs, policies, reporting, and practices for the organization and related companies.
Duties/Responsibilities:
• Significant experience in identifying functions and business practices requiring compliance and regulatory activities and assist the Director of Compliance/Compliance Counsel in developing a compliance strategy for same. Ability to foresee challenges and resolve efficiently.
• Continually monitor and improve internal compliance and regulatory functions and complete legal/compliance research to ensure that the organizations are compliant with applicable state and federal law.
• Identify and document changes in laws and governmental policies and assist in evaluating, developing, and implementing a compliance plan, as necessary.
• Actively involved in daily operations of the Compliance Department to meet deadlines and manage licensing and renewals for internal entities, as well as dealers and DOWCs structures.
• Work with various other departments to manage and maintain company licensing in between renewals and ensure that financial accounts and insurance policies are current.
• Manage registered agent relationship and SOS filings and renewals and any other documentation that may be required in connection therewith.
• Actively involved in keeping up-to-date with respect to legislative changes, including completing legal/compliance research, and how same may impact company’s line of business in the automotive Finance & Insurance industry, with an eye toward identifying business process gaps, weaknesses, and/or deficiencies needing correction.
• Assist in performing research regarding expansion of business into various other countries/territories.
• Maintain and protect confidentiality with regards to all aspects of client and company information.
• Ability to multi-task, prioritize, and manage time effectively in a teamwork environment.
• Performs general administrative tasks as needed.
• Performs other duties will be at the discretion of management.
Required skills/Abilities:
• Excellent communication skills.
• Excellent interpersonal and customer service skills.
• Strong analytical and problem-solving skills
• Must have superior technology skills with proficiency in Microsoft Office 365 and Adobe.
• Independent discretion
• Ability to multitask and remain professional at all times.
• Excellent organizational skills and attention to detail.
• Excellent time management skills with a proven ability to meet deadlines.
• Self-starter with the ability to work independently.
• Ability to speak Spanish helpful but not required.
Education and Experience:
• Relevant experience in law, ethics, organizational business, and regulatory/compliance matters.
• Experience building internal relationships and working across a highly matrixed organization.
Physical Requirements:
• Prolonged periods of sitting at a desk and working on a computer.
DOWC is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected Veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Applicants who require accommodation to participate in the job application process may contact us for assistance.
