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Senior Compliance Officer - Policies & Procedures

  • Location: San Francisco, CA
  • Job Type: Direct Placement
  • Ref No: 20-05036
  • Date: December 10, 2020
  • Job title:

Job Description - Senior Compliance Officer - Policies & Procedures

           
The VP, Senior Compliance Manager is responsible for working with the Bank’s Business Units and Support functions to ensure compliance with applicable state, local, and federal banking laws. The Manager will be responsible for, among other duties, ensuring each Business Unit and Support function establishes and maintains appropriate policies and procedures to ensure compliance with applicable laws and regulations.  The Manager will also be responsible for managing the Bank’s Privacy Program, Change Management Program and other Bank-wide programs administered through the Compliance Department. Additionally, the Manager will assist with conducting risk assessments, developing Compliance testing and monitoring plans, and Compliance reporting. This position will be responsible for assessing a broad range of compliance risks across all Bank departments.
 
  This manager will work with all Business and Support functions and Compliance staff and will be responsible for monitoring changes to relevant laws and regulations, identifying impacts across the enterprise and coordinating within Compliance and with the business leaders to determine any needed changes to policies, procedures or controls. 

ESSENTIAL DUTIES

   
     
  • Serves as the Compliance Manager in charge of managing the Bank’s policies, procedures, and various Compliance programs.
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  • Works with Compliance staff to conduct targeted risk assessments, risk-based testing and monitoring, establishing Compliance training requirements and Compliance reporting.
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  • Provide expertise, oversight, guidance, and advice on current and changing regulatory requirements that affect the Bank and oversee the compliance implementation efforts.
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  • Participate in the Bank’s Compliance Committee providing reports and information to Management, as necessary.
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  • Identify training needs and assist in developing/implementing effective training to staff.
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  • Research new legal and compliance requirements and analyze their potential impacts on the Bank’s processes currently in place to ensure consistent compliance with applicable laws and regulations.
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  • Maintains a strong knowledge and understanding of appropriate banking laws, regulations, internal policies and procedures, and they apply to the Bank’s operations.
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  • Must have the ability to work independently and as part of a team in a professional environment.
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  • Ensures compliance with all state and federal regulations and internal company policies, including but not limited to BSA / Anti-Money Laundering, Fair Lending, Privacy, and Anti-Discrimination, to the extent each applies to current job responsibilities.
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SECONDARY DUTIES

  • Advise and consult on proposed new products, services, and initiatives with regard to compliance obligations and corresponding compliance risks and mitigating controls. Review/identify regulatory compliance impact, assess the Bank’s Compliance risk appetite.
  • Provides assistance to the Compliance Officer during FDIC and state bank examinations and Compliance Audits; ensures issues raised as a result of these reviews are appropriately addressed by Business Unit and Support Function Managers and corrective actions are planned and implemented in a timely manner.
  • Work with the Compliance Officer on the timely and satisfactory resolution of consumer complaints.

   
     
  • Minimum 5 years compliance, risk, internal audit, or regulatory experience in the banking industry
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  • CRCM or similar designation is a plus
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  • Strong knowledge of general banking with an understanding of lending and deposit products and practices
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  • Strong knowledge of lending and deposit laws and regulations
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  • Highly developed and proven ability to initiate and manage projects
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  • Demonstrated leadership skills and strategic ability to develop and implement Compliance initiatives
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  • Ability to respond to common inquiries or complaints from customers, regulatory agencies, or members of the business community
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  • Requires occasional travel within the Bank’s footprint
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  • Strong interpersonal skills for coordination/liaison functions
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  • Strong writing skills for composition of reports
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  • Strong analytical and research skills for information synthetization and forming conclusions
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  • Bank and product knowledge
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