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Risk assessment Compliance Consultant - Remote

  • Location: Sandy, UT
  • Job Type: Contract
  • Ref No: 20-04191
  • Date: October 14, 2020
  • Job title:

Job Description - Risk assessment Compliance Consultant - Remote

VP Regulatory Compliance Officer


  • Manages all facets of regulatory compliance affecting Bank Operations, Marketing, Deposits and Lending through the Bank's Compliance Program. Maintains compliance policies and reviews compliance and business procedures for implementation of compliance regulations or integration into existing processes and practices.
  • Manages the Bank Risk Assessment methodology, including the review and reporting of functional area risk assessments across the Bank.
  • Participates in and reviews audits to assess compliance-related topics or issues. Evaluates new or changed products and business initiatives for compliance risks and mitigation solutions.
  • Available as a subject matter expert and resource for questions and training across the organization.
  • Works with federal and state Banking regulators on compliance matters and compliance exams.


  • Collaborates and directs business management and staff to ensure effective integration of compliance standards into Operations, Deposits and Lending processes. ,. Makes recommendations, develops and implements solutions and assesses performance. Ensures management provides timely and effective solutions to address regulatory requirements.
  • Reviews and revises, as appropriate, policies and reviews departmental procedures specifically addressing regulatory compliance topics or applying compliance standards to existing Bank or departmental processes. Acts as subject matter expert for questions and training.
  • Manages Compliance Program and compliance-related business activity documents and forms development and updating, including applications, disclosures, loan documents, brochures, etc.
  • Trains and/or manages the training of staff in compliance aspects applicable to their individual areas of responsibility and all employees.
  • Reviews and approves Bank advertising for regulatory compliance.
  • Maintains Complaint Log and manages complaint/error resolution and responses process. Develops and provides periodic reporting on Complaints to Management and appropriate Governance committees
  • Works closely with banking regulators during and in preparation of compliance exams.


  • Sound working knowledge of federal and state banking consumer protection laws and regulations, including ECOA, E-SIGN Act, RESPA, TILA, HMDA and FHA and state predatory lending and high cost regulations.
  • Minimum five years' experience practicing and managing regulatory compliance in Lending and Operations for an insured financial institution.
  • Ability to write policies and procedures and effectively educate and train staff.


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