Senior Compliance Manager - MTL Exam Management

Description  Intuit is looking for an innovative Sr. Compliance Manager to provide end-to-end management and execution of state and federal agencies' licensing examinations, and audits, for money transmitters. The ideal candidate should have extensive experience with state money transmitter licensing agencies, examiners, and with development and execution of exam management programs with a focus on money movement across multiple states, and across multiple products and services.    
Primary Role and Responsibilities:
  • Money Transmitter Licensing exam management and execution, including design and deployment of end-to-end documented process for regulatory engagement, including federal and state agencies, and internal and third party, audits and exams (collectively "exams")
  • Establish strong process for regulatory engagement, exams, building confidence in our ability to manage and comply with licensing requirements. Includes:  
  • Managing exam preparation
  • Managing exam set-up and location coordination
  • Managing exam documentation gathering, review, retention and dissemination
  • Providing guidance to business and compliance partners on exam request responses
  • Preparing personnel for exam interactions, and leading meetings involving personnel and examiners
  • Coordinating with cross-functional teams to source data and other requirements to fulfill examiner requests
  • Maintaining exam physical and electronic files
  • Managing tracking of exam requests and contact personnel as needed
  • Reviewing requests and advising internal stakeholders
  • Identifying, escalating, and developing solutions for potential outcomes, including potential for adverse findings
  • Overseeing and completing periodic and other reporting timely and accurately
  • Ensuring timely response to examination reports provided to regulators as required  
  • Manage regulatory interaction for examinations and liaise with examiners/auditors through all phases of the exam and agency regulatory oversight processes
  • Manage portfolio of regulatory supervisory activities, serving as central point of contact
  • Partner with process owners, business leaders and key stakeholders to develop adequate remediation plans and other action plans to address issues and exam findings
  • Review, develop and maintain regulatory and exam materials that meet relevant professional practice requirements
  • Significant regulatory, internal client and executive interactions, demonstrating strong professional presence, communication and decision-making skills
  • Review and prepare concise, well-written communications, including final deliverables
  • Provide guidance on strategic projects to deliver audit, risk and compliance from perspective of agency interactions and exam management.
  • Serve as lead or key stakeholder in select internal improvement initiatives
  • BS degree preferred
  • 8+ years' experience in state and federal licensing exam management for financial services, with minimum of 25 states as part of multiple state responsibility, in addition to direct interaction with agencies' examiners as lead
  • Subject matter expertise in state and federal money transmitter laws and regulations
  • Reputation for integrity, and transparency with regulatory bodies, and ability to balance business partnership with the need to exercise independent judgment and to raise issues in a timely and constructive manner
  • Demonstrated ability to influence and collaborate with peers, senior management, business leaders, and executives to accomplish shared goals
  • Exceptional ability to manage multiple programs in a fast-paced environment with changing priorities and significant time pressures

Imagine a career where your creative inspiration can fuel BIG innovation. Year-over-year, Intuit has been recognized as a best employer and is consistently ranked on Fortune's "100 Best Companies To Work For" and Fortune World's "Most Admired Software Companies" lists. Immerse yourself in our award winning culture while creating breakthrough solutions that simplify the lives of consumers and small businesses and their customers worldwide.
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Intuit will consider for employment qualified applicants with criminal histories in a manner consistent with requirements of local law.
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