USAA · 7 hours ago
Director, Centralized Supervision
Colorado Springs Campus
Full-time
Onsite
Senior Level, Lead/Staff
$127K/yr - $236K/yr
8+ years expUSAA is a company dedicated to empowering its members to achieve financial security through competitive products and exceptional service. The Director of Centralized Supervision will ensure compliance with laws and regulations while overseeing the Centralized Supervision Team's activities related to Life, Retirement, and Health Solutions. This role involves coaching, team management, and collaboration across various departments to maintain regulatory adherence and risk management.
BankingFinancial ServicesInsuranceVenture Capital
No H1B
Responsibilities
Provides technical (regulatory, compliance and institutional) coaching and feedback that leads to sound business results and protection of employees, members, and the USAA brand
Develops and enhances the Centralized Supervision team and ensures proper expectations are established throughout the organization regarding adherence to regulatory requirements, supervision, and risk mitigation
Oversees and directs team members in the activities that they perform which includes call monitoring, correspondence reviews, monitoring plan, standards, policies, and control environment requirements, suitability reviews, and front-line management supervisory outcomes and trends
Builds and maintains relationships within Life and across the Association, including but not limited to Life Leadership, Quality Assurance, Compliance, Risk Management, Internal Audit, Legal, Product Management and Operations, to facilitate cooperative achievement of common goals
Determines appropriate data to collect, compile and analyzes to proactively evaluate and collaborate on supervision trends, common issues, and exceptions to proper risk and compliance execution by Life
Ensures consistent application of risk management practices, policies, standards, and procedures prescribed by Compliance
Proactively scans and evaluates internal and external environment to optimize operations processes
Oversees responses to regulators, internal audit, and compliance and risk assessments regarding sales practice and associated regulatory processes conducted by the team
Mitigates risks associated with projects and initiatives that impact supervisory activities and execution including participation in Life working groups, projects where supervision SMEs are needed, and various governance and operational committees
Participates in Life Business Risk and Control Management leadership team activities and assists in developing the strategic vision of the business
Supports senior management to ensure plans, operational environment, regulatory obligations, schedules, communication, and training are in place for a successful implementation of projects affecting the operations of the Centralized Supervision Team and potential impacts to front line leaders
Works to ensure strategic alignment of initiatives with those across the Association and works with business leaders to identify and mitigate operational and regulatory risks
Builds and oversees a team of employees for assigned functional area through ongoing execution of recruiting, development, retention, coaching and support, performance management, and managerial activities
Ensures risks associated with business activities are effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures
Qualification
Required
Bachelor's degree OR 4 years of related experience (in addition to the minimum years of experience required) may be substituted in lieu of degree. (Total of 8 years of experience without bachelor's degree)
8 years of experience in a risk management or compliance function within the Financial Services industry
3 years of direct team lead, supervisory or management experience
Experience as a FINRA registered representative or life insurance agent
Relevant FINRA or Life/Health licensing required based on the specific discipline being performed
Technical expertise in regulatory rules in the areas of supervision conducted by CST to include areas such as Broker-Dealer, Life, Health Solutions, Investment Advisory, etc
Knowledge of regulatory requirements (NAIC, State, and/or FINRA)
Preferred
US military experience through military service or a military spouse/domestic partner
Active FINRA 7, 63, and 24
Active Life and Health License
Risk Management – First Line of Defense (FLOD) 2 years of experience supervising Life, Health, and/or Annuity products
2 years of experience working with Second & Third Lines of defense and External Auditors/Regulators
Data Gathering/Reporting and 2 years' experience presenting to Senior Level Management
Experience utilizing Salesforce Member Meeting Review (MMR), Tableau, Engage/Gridspace, Proofpoint, Conversant
Working knowledge of the appointment process of Life/Health Agents for non-proprietary products
2 years of experience identifying, prioritizing, remediating, and escalating Issues within the Issue Management program
Benefits
Comprehensive medical, dental and vision plans
401(k)
Pension
Life insurance
Parental benefits
Adoption assistance
Paid time off program with paid holidays plus 16 paid volunteer hours
Various wellness programs
Career path planning and continuing education
Company
USAA
USAA is a financial services company.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Julie McPeak
SVP, General Counsel Insurance
Waqas Durrani
Senior Vice President, General Counsel - Enterprise Shared Services
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