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Regulatory Risk & Consumer Compliance Manager (Financial Services) - Charlotte, NC #7723206

Company: PwC

Date: 11/21/2020

City: Charlotte, NC

Employment type: Full-time

A career within Regulatory Risk and Compliance services, will provide you with the opportunity to help companies rethink their approach to risk and create a sustainable risk advantage. We're a part of a unique client proposition, assisting our clients develop proper internal controls by leveraging analytics and technology solutions to underpin efficient execution of governance, to optimise their risk and compliance policies and processes, and improve business performance.


To really stand out and make us fit for the future in a constantly changing world, each and every one of us at PwC needs to be a purpose-led and values-driven leader at every level. To help us achieve this we have the PwC Professional; our global leadership development framework. It gives us a single set of expectations across our lines, geographies and career paths, and provides transparency on the skills we need as individuals to be successful and progress in our careers, now and in the future.


As a Manager, you'll work as part of a team of problem solvers, helping to solve complex business issues from strategy to execution. PwC Professional skills and responsibilities for this management level include but are not limited to:



  • Develop new skills outside of comfort zone.
  • Act to resolve issues which prevent the team working effectively.
  • Coach others, recognise their strengths, and encourage them to take ownership of their personal development.
  • Analyse complex ideas or proposals and build a range of meaningful recommendations.
  • Use multiple sources of information including broader stakeholder views to develop solutions and recommendations.
  • Address sub-standard work or work that does not meet firm's/client's expectations.
  • Use data and insights to inform conclusions and support decision-making.
  • Develop a point of view on key global trends, and how they impact clients.
  • Manage a variety of viewpoints to build consensus and create positive outcomes for all parties.
  • Simplify complex messages, highlighting and summarising key points.
  • Uphold the firm's code of ethics and business conduct.

Job Requirements and Preferences:


Basic Qualifications:


Minimum Degree Required:


Bachelor Degree


Minimum Years of Experience:


7 year(s)


Preferred Qualifications:


Degree Preferred:


Master of Business Administration


Additional Educational Preferences:


Juris Doctorate may be considered.


Certification(s) Preferred:


Commissioned Bank Examiner from a State or Federal Regulatory Agency or Certified Regulatory Compliance Manager (CRCM) certification preferred.


Preferred Knowledge/Skills:


Demonstrates extensive knowledge and/or a proven record of success managing compliance-related consulting engagements within a top consulting or accounting firm, regulatory body (e.g. CFPB, OCC, Federal Reserve), or financial services firm including the following areas:



  • Managing multiple, complex projects and direct medium to large staff teams;
  • Working knowledge of banking laws and regulations including consumer compliance requirements (e.g. FCRA, TILA, HMDA, Fair Lending, UDAAP, etc.);
  • Leveraging a working knowledge of regulatory requirements and industry leading practices relating to compliance risk management programs and processes;
  • Demonstrating familiarity with operational processes and systems relating to consumer financial products and services (e.g. Cards, Mortgages, Deposits, etc.) and integration of compliance controls into the scope of existing business practices;
  • Assessing, developing, and implementing sustainable compliance risk management structures and processes including governance and oversight structures, key compliance processes such as regulatory inventory, risk assessment, monitoring and testing, training, corrective action and reporting and supporting compliance technologies; and,
  • Developing and executing regulatory compliance-related Internal Audit or second line of defense monitoring and testing programs.

Demonstrates extensive abilities and/or a proven record of success leading client-facing consulting teams, including the following areas:



  • Developing compliance risk management programs, including risk monitoring and reporting, risk assessment and prioritization, and facilitation of the definition of an organization's risk appetite and risk tolerance in alignment with their organization's strategy;
  • Leveraging analytical ability and the ability to research, interpret, and evaluate laws, regulations, rules, standards and industry practices;
  • Communicating with external clients and internal staff in an organized and knowledgeable manner;
  • Leveraging project management and project facilitation skills, especially with leading and facilitating teams and developing client proposals;
  • Identifying and addressing client needs;
  • Building, maintaining, and utilizing networks of client relationships and community involvement;
  • Communicating value propositions;
  • Managing resource requirements, project workflow, budgets, billing and collections;
  • Preparing and/or coordinating complex written and verbal materials; and,
  • Providing constructive coaching and real-time feedback to team members.

All qualified applicants will receive consideration for employment at PwC without regard to race; creed; color; religion; national origin; sex; age; disability; sexual orientation; gender identity or expression; genetic predisposition or carrier status; veteran, marital, or citizenship status; or any other status protected by law. PwC is proud to be an affirmative action and equal opportunity employer.


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