Position Title Governance, Audit & Process Improvement Lead
Location Work From Home United States
Job Summary The Governance, Audit & Process Improvement Lead will manage a team of analysts to ensure Customer Engagement Center activities remain in compliance with department and bank procedures, best practices and/or local, state, and federal laws. In addition, the Lead oversees department internal and external audit activities, providing a cohesive and succinct representation of the Customer Engagement Center processes and controls. The Lead also assesses department functions, ensuring adequate controls in place to mitigate inherent risk.
Pay Range: $58,500.00 - $83,000.00 - $107,500.00
Coordinate and Respond to Internal, External and Regulatory Requests
Review incoming department audit requests, determine affected Customer Engagement Center stakeholders, and chair introductory meeting to share the purpose of the audit and assign responsibilities.
Collaborate with audit requestor to clarify audit request details and convey information to stakeholders.
Author audit responses as subject matter dictates.
Represent the Customer Engagement Center in audit/compliance meetings and collaborate with stakeholders to ensure completion of tasks identified; compile and submit final responses to Senior Leadership.
Maintain audit database to track audits completed, timeframes, and data/materials/responses provided.
Document business unit controls for inclusion in corporate risk assessments, (i.e., CCRA and RCSA) and maintain accurate list of controls as business processes evolve and refine.
Review business unit procedures and processes for alignment with bank policies, collaborating with stakeholders to implement changes as needed.
Manage the business unit third party management function
Clarify third party impacts on customers and the Customer Engagement Center by attending weekly meetings and holding meetings with stakeholders.
Provide third party review recommendations to Customer Engagement Center leadership, communicating final decisions and required documentation for review.
Coordinate and chair third party review meetings to include Customer Engagement Center leadership and business unit relationship owner, provide ratings recommendations, consolidate leadership comments, and perform follow-up on any outstanding concerns.
Complete and/or supervise the completion of required review documentation and provide to third party risk management according to due dates.
Document and track the completion of any required third party enhancements.
Maintain the Customer Engagement Center's third party process, tracking, and review documentation.
Obtain and consolidate Customer Engagement Center leadership requirements for customer facing MSA and SOW language, SLAs and KPIs and communicate requirements to stakeholders.
Ensure complaint reporting is initiated by third parties as contractually required.
Coach and mentor less experienced specialists in the third party management function.
Identify, plan and implement key initiatives to improve quality, reduce cost, increase productivity by reducing wasted time, inefficiencies and rework, etc. resulting in significant business improvement and customer satisfaction.
Lead identified process improvement initiatives within or across business units to deliver efficiencies and benefits to internal and external customers.
Present findings and recommendations with confidence and communicating these to sponsors and key stakeholders.
Complete and/or monitor the status of tasks required to implement process improvements.
Maintain status reports to key stakeholders tracking the status of the improvement project.
Develop results summary upon implementation of process improvement.
Address follow up tasks as needed.
General Management of the Compliance Team
Manage the hiring, scheduling, training, performance, coaching, quality, and direction of the team.
Meet with Compliance team members on a regular basis to provide updates, assign new projects, and develop future plans.
Review and edit materials developed by Compliance team members.
Continuous review of team deliverables and methodology to ensure high quality output.
Maintain working knowledge of all content areas (i.e., banking, servicing).
Partner with Customer Engagement Center Senior Leadership, Operations Management, and outside business units to develop and maintain compliance audit strategy and procedures for each area of th Customer Engagement Center.
Support Flagstar's Do Not Call (DNC) vendor relationship, ensure completion of billing, provide review and approval of DNC training materials, audit for DNC compliance across all Flagstar business units, and ensure submission of critical documentation to DNC vendor.
Manage department compliance with corporate-wide governance strategies including Data Loss Prevention, Records Management, and Business Continuity providing education and/or resource documentation where applicable.
Oversee audit score database to track and trend employee audit performance.
Set department standards for methodology, tools and expectations relative to audits.
Partner with Customer Engagement Center Operations management to determine and develop yearly audit schedule making ongoing adjustments as necessary to add value and support.
Enterprise Complaint Management
Lead the annual update and delivery of the corporate-wide enterprise complaint management training within prescribed due dates ensuring content accuracy, relevancy, and consistency.
Request and obtain feedback from subject matter experts, incorporate feedback as required, and coordinate with training resource to ensure required changes are made.
Review and address any post-launch questions or concerns.
Execute the review and update of complaint management resources and business unit web page, ensuring content consistency and owning content as assigned.
Coordinate the development and deployment of complaint training for bank acquisitions and customer-facing third parties.
Meet with stakeholders to determine training requirements and plot deployment plan.
Determine required system access and work with business unit to obtain.
Work with training to tailor training materials/presentation to ensure accuracy for designated recipients.
Communicate completion of training and requirements for post launch reporting to affected parties.
Support Personnel and Team Development
Continuously develop and improve auditing tools and processes.
Document and maintain procedures for all job functions.
Coach and mentor less experienced specialists.
Support various compliance functions such as self-tests, business unit compliance training, Records Management, and DNC request processing.
Act as a review party for compliance owned resources.
Maintain and respond to inquiries received via the compliance support email inbox.
Perform other duties as assigned.
Attend and successfully complete departmental and corporate trainings.
Regularly undertake self-development activities.
HS Diploma, GED or Foreign Equivalent
Bachelor's Degree Required (Business Administration) or comparable work experience
7-10 years of experience with business writing, reporting, and compliance/auditing required.
2-3 years of experience managing and coordinating projects, activities, and resources required.
3 years leadership/supervisor experience required.
5 years of experience in the banking/mortgage industry preferred.
2 years of customer service and/or call center experience preferred.
Demonstrated proficiency using Microsoft Office software applications (specifically Word, PowerPoint, and Excel) with an emphasis designing and preparing written summaries, reports, presentations, charts, tables, and graphs.
Exceptional editing and proofreading skills ensuring little re-work is needed.
Appropriate interpersonal styles and effective communication, both orally and in writing, with all organizational levels using tact and diplomacy.
Exceptional customer service and interpersonal skills, ability to elicit cooperation from a wide variety of sources, including upper management and other departments.
Ability to comprehend complex documents, procedures, and policies and distill these into easy to understand language, data points, and visualizations.
Strong analytical, critical thinking, and problem solving skills with the ability to focus on details as well as to understand the broader picture.
Strong research skills including gathering and analyzing information or data from multiple sources and making actionable recommendations.
Outstanding organizational and planning skills with demonstrated ability to effectively prioritize and execute tasks in a high-pressured environment.
Dedicated to meeting the expectations and requirements of internal and external customers with a good sense of urgency.
Ability to adapt to new demands and challenges.
Ensures compliance with applicable federal, state and local laws and regulations. Completes all required compliance training. Maintains knowledge of and adhere to Flagstar's internal compliance policies and procedures. Takes responsibility to keep up to date with changing regulations and policies.