Responsibilities
- Manage the preparation and submission of regulatory license applications and renewals, ensuring all required documents are collected and filed on schedule.
- Monitor surety bond requirements and other licensing conditions, maintaining up-to-date records in the licensing system.
- Coordinate responses to compliance exams by regulatory agencies, including gathering documentation and tracking requests.
- Prepare and compile reports, responses, and supporting materials for regulatory submissions within established deadlines.
- Keep comprehensive records of all licensing and examination activities to ensure audit readiness.
- Track costs associated with licensing and exams, and assist in maintaining financial projections as needed.
- Independently assess business processes for compliance risks, document findings, and recommend corrective actions when gaps are found.
- Use available resources to identify, analyze, and communicate risks related to licensing and examinations.
- Apply sound judgment to evaluate unusual or non-routine requests, anticipate potential complications, and take preventive measures.
- Organize, lead, and follow up on governance meetings, including scheduling, tracking action items, and managing approvals.
- Maintain accurate governance records such as meeting minutes and supporting documents.
- Develop, update, and manage compliance policies and procedures as assigned.
- Assist in managing the lifecycle of compliance events from identification through resolution where applicable.
- Support enterprise-wide compliance initiatives by tracking progress, documenting requirements, and coordinating deliverables.
- Collaborate with internal departments to ensure timely execution of compliance-related projects.
- Act as a compliance resource for technology initiatives, including those involving artificial intelligence and automation.
- Help monitor compliance risks in technology-driven processes and document associated controls and evidence.
- Stay current on regulatory developments related to emerging technologies and report potential risks promptly.
- Create summaries, reports, and presentations on licensing, exams, governance, and compliance efforts for internal and external use.
- Support responses to regulatory audits and information requests by organizing and verifying required documentation.
- Perform additional duties as assigned by management.
Other
Must be able to sit at a desk and work on a computer or on the phone as required, for extended periods of time.