The Compliance Department assists the company in identifying, evaluating, and mitigating compliance risks and implements the Companys Compliance Management System, including the maintenance and updating of all Company policy and procedures, providing operational compliance training, vendor management, and operational compliance audits. This position will be responsible for advising the Chief Compliance Officer on regulatory risks, updating and confirming regulatory law in the 50 states and any other compliance issues. Additional responsibilities include working collaboratively with senior management to review and approve documentation provided by various departments, including but not limited to working directly with our affiliates and subsidiaries, marketing, servicing, training, audit and collections.

The candidate will possess exceptional interpersonal skills and verbal and written communication skills, including the ability to sift through complicated legal and regulatory issues and communicate only the important aspects in a clear and concise manner at all levels within the organization.

The successful candidate is self-directed in work prioritization and demonstrates superior judgment-making ability within the scope of the positions areas of responsibility. The Regulatory Compliance Counsel will perform all duties in accordance with Westlake policies and procedures and all state and federal regulations.


  • Advise Compliance Department on regulatory compliance issues as they arise, and conduct 50-state specific issue surveys on matters relevant to the Companys businesses.
  • Oversees regulatory/licensing compliance nationwide, including the maintenance of licenses and authority to conduct business.
  • Review and provide updates to Compliance Department regarding changes in the law and provide implementation plans for the Company in order to operationally comply with those changes.
  • Draft complex legal documentation including, but not limited to summaries of significant regulatory developments, legislative history, hearing testimony, speeches, comments, etc.
  • Work with outside counsel to confirm Compliance initiatives are met
  • Review and revise internal company policies, covering all aspects of compliance including but not limited to TILA and Regulation Z, ECOA and Regulation B, GLBA and Regulation P, FCRA, FDCPA, TCPA, SCRA, and CAN-SPAM.
  • Work in conjunction with the Operational Training Department to ensure proper compliance training of Company staff.
  • Review and assist in negotiating and drafting contracts for outside vendors and other corporate transactions as it relates to vendor management.
  • Reviews responses to certain regulatory and customer complaints.
  • Intervenes and problem solves customer conflicts in the event Company compliance staff cannot de-escalate the situation.


  • Knowledge of federal, state and local laws relevant to the operation of a financial services company engaged in the purchase of automobile retail installment contracts and direct automobile lending
  • Experience with federal and state laws governing consumer finance, including but not limited to TILA and Regulation Z, ECOA and Regulation B, GLBA and Regulation P, FCRA, FDCPA, TCPA, SCRA, and CAN-SPAM
  • Strong Legal Research and Analytical skills
  • Excellent oral and written communication and interpersonal skills
  • Detail-oriented with excellent organizational skills, ability to multi-task, and the ability to problem-solve
  • Work in a team-oriented environment and meet tight deadlines and prioritize projects with limited supervision


  • Membership in California State Bar, or other active in at least one State Bar.
  • Juris Doctor or equivalent professional qualification from a nationally-recognized accredited law school.
  • Significant, hands-on experience in Regulatory Compliance either in a law firm or experience in the financial services industry, preferably with indirect automobile retail installment contracts and/or direct auto lending for a period of 5 years or more.

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