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AVP, Compliance Officer

2 months ago

San Diego, United States Axos Bank Full time

Target Range:

$66,560.00/Yr. - $90,000.00/Yr.

Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and education.


Eligible for an Annual Discretionary Cash Bonus Target: 10%


Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 10%


These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.


About This Job

As AVP, Compliance Officer, you will participate and lead compliance risk assessments, quality assurance reviews, compliance monitoring processes, and company-wide compliance training, covering high risk activities. Support business units compliance, marketing requests and regulatory change management and other duties as assigned.


The Compliance team works to ensure compliance with applicable laws and regulations, which enables the bank to operate successfully and to continue the bank’s growth and innovation in a highly regulated environment. Consistent with its expertise, Compliance also leads the CRA, Fair Lending, Training, and Policy development at the bank. The Compliance division is a small, nimble group of Subject Matter Experts (SMEs) that provides sound guidance to Business Units in support of the Unit’s growth and innovation objectives.


This Lending Compliance sub-division works to ensure compliance with the Bank’s credit policies, underwriting guidelines, and applicable federal laws and regulations which guide the Bank’s lending operations to allow successful continuance of the bank’s growth and innovation in a highly regulated environment. Consistent with its expertise, the Lending Quality Control (LQC) division is a small group of experienced underwriting/compliance staff that produces focused reports to the Lending Compliance Division and the applicable Business Units regarding the results of their review activity.


Responsibilities:

Compliance Programs

  • Conduct scheduled loan level documentation reviews and transactional testing on all lending products through focused and random sample basis
  • Assess appropriateness of existing review scope and develop new or enhance existing test approach to increase effectiveness of compliance program
  • Prepare written reports for Department Manager detailing observations and recommendations for corrections
  • Facilitate and lead discussions with Business Unit Managers and Senior Leadership as it pertains to compliance review results
  • Work with affected business units to accomplish remediation and appropriate training as required
  • Participate in the continual review and improvement of compliance oversight programs for lending products offered by the Bank. Continuous coordination with Department Manager and other team members of your ideas and recommendations for enhancement of areas that cover all regulations affecting credit products
  • Lead and/or participate in the regulatory change management program, which includes, but is not limited to a compliance Task Force and implementation of pending Regulatory rule changes
  • Perform continuous monitoring of regulatory compliance through the data driven compliance reporting processes
  • Review marketing campaigns, disclosures, new products and general regulatory questions. Provide response and/or guidance to the Business Units
  • Evaluate process maps, procedures, policies and management directives for accuracy and completeness
  • Other duties as assigned


Planning & Development

  • Conduct compliance risk assessments, quality assurance reviews, compliance monitoring processes and company-wide compliance training covering high risk activities
  • Participate in development and refinement of activities to enhance the Bank's compliance program


Analyzing

  • Analyze, summarize and communicate current regulatory and organizational compliance developments to Department Manager and coordinate with other team member efforts to ensure policies, procedures, forms and training meet all new and amended requirements and deadlines
  • Examine and communicate compliance requirements for new or revised products, services, systems to Business Units
  • Consult with legal counsel, regulatory agencies, vendors and compliance organizations, as needed


Regulatory Support

  • Support Bank's efforts on all corporate compliance audits and Agency compliance examinations, including advance preparation, coordination of all information gathering between business units during the audit/exam and remediation actions


Requirements:

  • Bachelor's degree
  • 2+ years' banking/mortgage banking/audit/regulatory compliance
  • Loan level documentation review and transaction analysis
  • Flexible and able to work on multiple projects that may require restructuring due to shifting demands and changing priorities within a multi-billion dollar bank
  • Identify and define problems with documentation, loan origination systems, internal processes and procedures; research and analyze information and various situations relating to data management issues
  • Think outside the box for problem resolutions and alternatives
  • Excellent verbal and written communication to include presentation skills



Axos Employee Benefits May Include:

  • Medical, Dental, Vision, and Life Insurance
  • Paid Sick Leave, 3 weeks’ Vacation, and Holidays (about 11 a year)
  • HSA or FSA account and other voluntary benefits
  • 401(k) Retirement Saving Plan with Employer Match Program and 529 Savings Plan
  • Employee Mortgage Loan Program and free access to an Axos Bank Account with Self-Directed Trading


About Axos

Born digital-first, Axos delivers financial tools and services that allow individuals, small businesses, and companies to access and manage their money how, when, and where they want. We’re a diverse team of dynamic, insightful, and independent innovators who are excited to provide technology-driven solutions that offer unbeatable value to our customers.


Axos Financial is our holding company and is publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).


Learn more about working at Axos


Pre-Employment Background Check and Drug Test:

All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.


Equal Employment Opportunity:

Axos is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state, and local laws.


Job Functions and Work Environment:

While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.


The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.