Compliance Specialist, Advisory

  • Company: Fiserv
  • Location: Wallingford, Connecticut
  • Posted: November 24, 2017
  • Reference ID: R-10084218
Position Description

Fiserv's Corporate Audit Services Department (CAS) delivers world-class internal audit and advisory services that enable Fiserv to achieve superior performance.

Essential Job Responsibilities:  

This role will be responsible for numerous compliance functions for Corporate Audit Services and CheckFreePay to include:

  • Maintaining 51 CheckFreePay money transmitter licenses through which Fiserv’s money transmission products, including walk-in bill payment, on-line bill payment, and PopMoney are offered directly to consumers.  These offerings are products of the Biller and E-Payments business divisions;
  • Preparation and submission of approximately 400+ reports.  Some of the reports will be produced manually while the majority of the reports will be created through the NMLS system either monthly, quarterly, and or annually;
  • Collaborate with business partners to create and refine reports that produce information necessary for state reporting;
  • Collaborate with business partners to update, refine, and modify websites which are a regulatory requirement;
  • Coordinate, direct, prepare and host multiple state regulatory examinations (on and off-site) throughout the year, including tracking of ROE responses and remediation efforts;
  • Develop extensive amounts of information (product information, transactional data, bank reconciliations, financials, and etc.) from the business units, Treasury, CAS, Legal, Accounting, Finance, etc. which will be necessary to file reports and produce the above in the course of state examinations;
  • Responsible to ensure that license application information is updated, including Board Officers and Directors, and new/changes to product information are appropriately reflected on the public facing websites ;
  • Coordinate on-boarding of new Officers and Directors which includes ensuring background screening, fingerprinting, and the various forms and notifications are filed and processed to all states in a timely manner;
  • Ensure that all surety bonds are current and are kept at appropriate dollar amounts;
  • Keep abreast of new and changes to state statutes, regulatory requirements, and rules, analyze application of such to products and services, and coordinate with various business partners to account for changes that affect the licensee’s products, as necessary;
  • Prepare and present state regulatory information at board of director meetings as appropriate;
  • Limited managerial and related administrative duties
  • Travel not more than 40%

Required Qualifications:

  • College degree (preferred)
  • Demonstrated experience with Microsoft Office products
  • Documented experience with Excel Spreadsheets
  • Independent and task oriented worker
  • Experience in a collaborative environment
  • Presentation experience
  • Even and approachable temperament

Preferred Qualifications:

All the above and a few of the following:

  • College degree (any discipline)
  • Experience in accounting reconciliation
  • Excel spreadsheet creation and modification experience
  • Experience meeting and creating deadlines
  • Experience providing PowerPoint presentations
  • Experience managing time bound projects and presenting your results to senior management
  • Website modification experience
  • NMLS experience
  • Motivated self-starter

Travel Required:

Not more than 40 % per year – travel is based on projects and office location; travel will also decrease as the incumbent perfects the role.



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