Compliance - Regulatory Risk Assessment Manager

Date: Oct 16, 2021

Location: Miami Lakes, FL, US, 33016


Join the Popular Team!

Founded in 1893, Popular Inc. has been built upon strong institutional values while providing broad financial services within the United States, Puerto Rico, and the Caribbean.

We strive to create an extraordinary legacy with a passion for customer service, tremendous dedication to our employees, and strong partnerships in the communities where we reside. Come explore Popular - Our bottom line is you.

Regulatory Risk Assessment

Popular Inc is seeking a Regulatory Risk Assessment Manager who works with business partners to conduct enterprise-wide regulatory risk assessments. Assessments are conducted in accordance with a standardized framework and methodology, the purpose of which is to understand the level of inherent compliance risk exposure associated with Popular’s business segments, assess controls, and ensure residual risk remains within tolerance. This position will provide oversight of the Regulatory Risk Assessments Unit Compliance Officers and suite of tools used to measure Regulatory Compliance, Financial Compliance, UDAAP and Fair Lending risk. The Regulatory Risk Assessment Manager provides guidance to key stakeholders to ensure our risk is well managed and our company remains in compliance, stable and profitable. They gain a high level of exposure across lines of business and have the opportunity to work with executives, compliance partners, regulators, auditors and other key constituents.

In this position, you will:

  • Manage and develop the regulatory risk assessment team.
  • Manage staffing assignments to ensure successful completion of Regulatory Risk Assessment in the allotted timeframe.
  • Manage process of assessing the inherent and residual compliance risks and controls though the established risk and control framework. Analyze and document work results.
  • Evaluate the accuracy of the regulatory risk assessment process by monitoring the team and adherence to processes and procedures.
  • Work with the business lines to source data required to support RRA inherent risk metrics.
  • Manage process of assessing the company’s ability to monitor and control inherent Compliance risk and conduct detailed reviews of high-risk areas.
  • Suggest risk mitigation strategies to business areas and other control functions.
  • Maintain detailed policies and procedures related to the risk assessment process.
  • Continuously improve the framework, methodology, processes, and reporting.
  • Develop, socialize, and present the risk assessment framework and methodology results to executive management and other key stakeholders as needed.
  • Stay abreast of all applicable laws, regulations, and emerging risks for consideration in the risk assessment process, with the support of the Compliance Change Management Program.
  • Gain a detailed knowledge of the enterprise customer base, products, services, transactions, geographies, business initiatives, processes, strategies and associated controls.
  • Ensure results of the risk assessment are tracked until remediated in accordance with corporate compliance standards.
  • Own, develop and enhance the Risk Assessment Methodology and suite of tools, as needed.
  • Provide updates on the risk assessment process as needed.
  • Establish and maintain strong relationships with other Compliance Units and Business Areas. Engage with subject matter experts as needed.
  • Support the Compliance Program Office in Internal Audits, exams, and reporting as needed.

To be considered, you will need:

Basic Qualifications:

  • Bachelor’s Degree
  • At least 5 years of experience in Risk Management, Compliance, or Internal Audit.
  • At least 3 years of experience in Microsoft Excel.
  • At least 2 years of experience in people management.

Preferred Qualifications:

  • Juris Doctor or 7 years of experience in Compliance, Risk Management.
  • Certified Regulatory Compliance Manager (CRCM) accreditation.
  • 5 years of experience in people management.
  • 5 years of experience in Microsoft Excel.


Please consider joining our DYNAMIC, friendly team! It takes only a few minutes to check-out this great opportunity and apply!

We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.

To learn more about Popular, visit our website at

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We reaffirm our commitment to offer essential financial services and solutions for our customers at all times, including during emergency situations and/or natural disasters. Popular’s employees are considered essential workers, whose role is critical in the continuity of these important services even under such circumstances. By applying to this position, you acknowledge that Popular may require your services during and immediately after any such events.


Nearest Major Market: Miami

Job Segment: Compliance, Regulatory Affairs, Law, Manager, Change Management, Legal, Management