Mountain View or San Diego, CA
Our client is seeking a Compliance leader to join its Licensed Offerings team. You will lead a team that supports those licenses as well as the regulatory examinations related to those licenses.
They are looking for a seasoned leader to drive regulatory licensing and examinations. This role will lead the licensing and exam management function, as well as entity governance related to that space, and will often communicate externally with regulators. The ideal candidate should have experience at the state and/or federal level licenses, successfully maintaining licensure, interacting with regulators, as well as managing a team to successful outcomes in regulatory interactions. Strong relationship building with both internal and external stakeholders and concise strategic communication will be key.
Our client’s products must continuously delight our customers, conform to company policy and practices, and meet the regulatory requirements imposed upon its regulated activities by state and federal agencies. If you are passionate about innovation, solving tough customer challenges, and compliance as a strategic advantage, then come join their team!
They believe diversity and inclusion among teammates produces better results and is critical to our success as a global company. They are committed to recruiting, developing, and retaining the most talented people from a diverse candidate pool. Qualifications
- JD required with 8-10 years of professional experience, or equivalent experience.
- 4+ years’ experience in licensing and/or an in-house legal or compliance department preferred. Experience with Company-level licensing in NMLS preferred.
- Solid experience with regulatory state and/or federal examinations, interacting directly with examiners and regulatory agencies. International experience preferred in addition to U.S.-based experience.
- Demonstrated ability to think strategically and execute tactically.
- Ability to understand and address complex matters, anticipate risks and summarize key information.
- Proven experience working cross-functionally across an enterprise.
- Proven experience managing and leading a team.
- Excellent communication, interpersonal and writing skills.
- Maturing the licensing and exam management team and processes to be world-class, using technology to scale where appropriate.
- Ensuring relationships with regulatory agencies are solid and consistently nurtured from a licensed offerings perspective. This entails working closely at times with the Global Corporate Affairs team.
- Growing and developing a team to build a high-performance culture, harmonize processes across entities and drive winning results.
- Scale operations to be able to support additional volume as the business enters into more spaces that are heavily regulated and regulatory oversight increases.
- Ensure required documents are filed on time and exams result in minimal violations to the company or entities.
- Help drive the mindset that Compliance is a strategic advantage, enabling growth and customer delight.