Director-Corporate Compliance and Ethics

Description

Leads the Corporate Compliance & Ethics function with accountability for building, operating, and scaling governance infrastructure that supports an effective Compliance Management System (CMS). This role oversees regulatory governance, regulatory change management, policy governance, corporate and board governance, ethics and speak-up programs, and related compliance processes. The Director serves as a primary point of contact for corporate compliance matters, provides credible challenge and guidance across the organization, interfaces with regulators and internal stakeholders, and reinforces clear separation of governance, oversight, and execution responsibilities across the three lines of defense.

LOCATION

Mountain America Center

9800 S Monroe St
Sandy, UT 84070

SCHEDULE

This is a hybrid role with both in office and remote work, depending on business need

To be effective, an individual must be able to perform each job duty successfully.

Compliance Governance & CMS

Design, implement, and continuously enhance the Compliance Management System (CMS), including governance frameworks, standards, committees, reporting, and documentation.
Ensure alignment with regulatory expectations (e.g., NCUA, CFPB) and scalability for organizational growth.
Establish governance standards, charters, procedures, and operating routines that drive clear accountability and effective oversight.
Partner across monitoring, testing, assurance, and business functions to enable a coordinated, risk-based compliance program.

Regulatory Compliance & Change Management

Own the regulatory change management framework, including intake, inventory, impact assessment, prioritization, implementation governance, and escalation.
Maintain a comprehensive regulatory inventory with traceability to policies, processes, and accountable owners.
Translate regulatory requirements into actionable governance expectations, implementation plans, and executive reporting.
Monitor regulatory developments, assess enterprise impact, and escalate material risks or implementation challenges.

Corporate, Board & Policy Governance

Oversee corporate compliance governance, including board and committee processes, bylaws-related support, and documentation.
Own the enterprise policy governance framework, including development, approval, review, exception, and lifecycle standards.
Coordinate committee charters, agendas, materials, action tracking, and reporting to ensure consistency and accountability.
Provide strategic guidance on governance structures, approvals, and documentation to support sound, defensible decision-making.

Ethics, Conduct & Speak-Up

Lead the ethics, conduct, and speak-up program, including Code of Conduct governance, hotline processes, intake, escalation, and reporting.
Oversee conflicts of interest disclosures, review, and escalation protocols.
Monitor conduct and culture indicators, identifying trends and recommending corrective actions.
Support effective investigation and remediation processes in partnership with Legal, HR, and other stakeholders.

Risk Assessment, Reporting & Regulatory Engagement

Develop and maintain compliance risk assessments, metrics, and reporting to assess program effectiveness and emerging risks.
Deliver clear reporting to executive leadership, committees, and the Board.
Serve as a primary liaison for regulatory exams, audits, and oversight activities.
Oversee issue remediation governance, including action tracking, escalation, and residual risk reporting.

Leadership & Cross-Functional Partnership

Lead and develop a high-performing Corporate Compliance & Regulatory Governance team.
Provide guidance and credible challenge to business and functional partners on governance and risk practices.
Reinforce clear separation of responsibilities across the three lines of defense.
Promote a culture of integrity, accountability, and practical compliance across the enterprise.

KNOWLEDGE, SKILLS, and ABILITIES

The requirements listed are representative of the knowledge, skills, and/or abilities required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions.

Education and Experience

10+ years of progressive experience in compliance, governance, risk management, or regulatory roles, preferably within financial services. Minimum 5 years in a people leadership capacity.
Demonstrated experience designing, implementing, and operating compliance governance frameworks and Compliance Management Systems (CMS).
Experience working with senior leadership, governance committees, Boards, internal audit, and regulatory agencies.
Strong understanding of regulatory expectations, control environments, and governance practices, including experience translating requirements into scalable operating models.
Bachelor's degree in business, law, risk management, finance, or a related field required.

Advanced degree such as a Master's degree or J.D. preferred.

Licenses, Certifications, Registrations

Relevant certifications preferred, such as CCEP, CRCM/CRCMP, GRCP, CRISC, CIA, or comparable credentials.

Knowledge & Skills

Executive presence with strong written and verbal communication skills and the ability to influence without direct authority.
Sound judgment, high ethical standards, and credibility in sensitive regulatory, governance, and organizational matters.
Strong analytical, organizational, and problem-solving skills with the ability to balance strategic thinking and operational execution.
Ability to translate complex regulatory expectations into clear, actionable, and scalable governance solutions.
Ability to lead through change, manage competing priorities, and build sustainable processes over a medium-term horizon.