Regulatory Compliance Specialist

Job Locations US-TX-Fort Worth
Requisition ID
Employee Type
Full Time-Regular
Legal / Compliance


The Regulatory Compliance Specialist is responsible for conducting Regulatory Compliance Self-Assessments at an account level to determine compliance with company policy and to identify and communicate non-compliant findings with Compliance Leadership. Perform day-to-day OFAC compliance reviews, and be responsible for some state examination management. This position will interact with some levels of management and many departments as well as external customers in the interest of achieving the overall company objectives.



  • Conduct Regulatory Compliance Self-Assessment account level reviews to ensure compliance with state and federal regulations.
  • Independently assess business processes and make proactive recommendations to mitigate compliance risk and identify monitoring and reporting needs when business, system, or regulatory changes go into effect and/or as a result of findings in internal compliance reviews such as self-assessments.
  • Provide independent analysis and quantitative reviews of system-generated calculations and statutorily required notifications regarding accounts for the RCSA process.
  • Provide monthly and real-time updates to leadership regarding new risks identified.
  • Develop a thorough understanding of GM Financial’s responsibilities for compliance to all applicable state and federal consumer laws.
  • Develop a thorough understanding of GM Financial policies, procedures and provide suggestions to revise those documents in order to comply with legal requirements, new laws and recommendations.
  • Maintain accurate, thorough records of communication and research.
  • Update the logs and databases as required.
  • Foster open communication and information sharing within department.
  • Review all potential OFAC hits to confirm whether or not there is a true match and collaborate with applicable business unit to obtain necessary information.
  • Participate and support senior specialists in state exams, as needed.
  • Conduct internal compliance reviews as a result of state examinations and regulatory change.



Complete other related duties and projects, as assigned.  



Reports to: AVP State and Federal Examinations

Subordinates: None  



  • Proficient with PC software applications such as Excel, Access, and Word.
  • Working knowledge of motor vehicle retail installment documentation in a consumer finance/banking environment.
  • Working knowledge of state and federal regulatory requirements as it relates to motor vehicle retail installment contract documentation and lien perfection.



  • Display strong computer skills, quantitative and analytical abilities. Ability to prioritize multiple projects.
  • Detail-oriented and able to manage multiple tasks/deadlines; Excellent organizational and follow-up skills.
  • Ability to exercise good judgment.
  • Ability to work with minimal supervision.
  • Strong work ethic, dependable, team player, with a flexible, proactive working style.
  • Ability to demonstrate integrity while successfully managing work demands and pressure; continually pursues personal development
  • Ability to produce accurate work and communicate effectively under stressful situations.
  • Ability to work with confidential information without disclosure to other employees or external sources.



  • 5+ years Consumer Finance and/or Auto Finance experience required with an emphasis in compliance preferred.
  • Experience supporting senior level management in a corporate environment preferred.
  • State regulatory knowledge preferred.
  • Bachelor’s degree or equivalent experience preferred.



  • Fast-paced office environment, subject to regular deadlines and some stressful situations.
  • Long hours may be required in order to meet departmental goals.


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