Chief Compliance Officer

5 days ago

Stamford, United States Partnership Employment Full time

Established bank with headquarters in Fairfield County is looking to hire a Chief Compliance Officer with a combination of Consumer Compliance and BSA.


Responsibilities:

  • Developing, implementing and maintaining an effective compliance program to ensure the organization adheres to all applicable laws, regulations and standards, monitoring and interpreting regulatory changes, advising on necessary adjustments to policies and practices, serving as one of the points of contact for regulatory bodies and managing communications and inquiries.
  • Providing compliance training to supplement computer-based training programs, as needed, and ensuring that staff members are assigned to take required computer-based training programs or attend Webinars, teleconferences, or external seminars; serves as Administrator of the ABA’s Frontline Compliance Training program; provides compliance training to the Boards of Directors
  • Appraising the effectiveness of the Compliance Program and revising it, as needed, to ensure it meets the Company’s needs and is in conformance with the FDIC’s Compliance Management System
  • Preparing an annual Compliance Risk Assessment
  • Evaluating sufficiency of and adherence to the Company’s policies and procedures and compliance with applicable laws and regulations and ensuring that affected departments have taken corrective action, as needed
  • Maintaining a compliance library and keeping updated on regulatory changes, emerging issues, and potential liabilities
  • Continuing compliance education by attending Webinars, seminars, and taking required computer-based training courses
  • Disseminating compliance information in a timely manner to affected departments
  • Implementing regulatory changes by developing a written Implementation Plan and assisting affected departments in implementing regulatory requirements by effective dates
  • Participating in risk/governance meetings
  • Reporting to the Board of Directors or its designated Committee on a regular basis on compliance, BSA, and privacy-related issues
  • Conducting annual compliance training for the Board of Directors
  • Performing timely and accurate reviews of the Bank’s advertisements and Website pages
  • Performing timely and accurate reviews of compliance-related forms, disclosures, and procedures and maintaining an inventory of approved documents
  • Assisting the Director of Risk Management in acting as regulatory liaison for BSA, CRA, and consumer compliance-related examinations and audits
  • Serving as Privacy Officer and coordinating with the IT Security Officer in connection with the Information Security Program
  • Overseeing the Identity Theft Red Flags Prevention Program, including Policy review, and contributing to the Identity Theft Risk Assessment
  • Supporting the CRA and HMDA functions by working closely with the Director of Risk Management to ensure the accuracy of CRA and HMDA data, reports, and maps and to ensure timely and accurate updates to the Bank’s CRA and HMDA Procedures Manual are made
  • Supporting the BSA and OFAC functions by serving as a backup to the BSA Officer
  • Providing compliance support to all business areas
  • Managing, leading, and coaching compliance staff, including regulatory compliance and BSA/AML staff

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