Chief Compliance Officer

6 days ago

Milwaukee, United States Disability Solutions Full time
At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you.

Responsible for providing strategic direction, leadership and day to day management over all aspects of the Bank's Compliance Management System / Program. Elements include but are not limited to direct management of all daily operational and human resources related responsibilities within the assigned functional areas, oversight and direction for technical / system support, compliance management processes and procedures, and risk assessment and analysis. This position is also required to stay abreast of legislative and regulatory initiatives, monitoring regulatory changes, understanding industry best practice, and assessing enterprise applicability, providing timely technical content for the continued development and maintenance of the Compliance Management Program.

Primary areas of focus may include, but may not be limited to:
-\tRegulatory Advisory and regulatory complaint management oversight for all lines of business;
-\tCommunity Reinvestment Act;
-\tFair Lending;
-\tPrivacy;
-\tCompliance Quality Assurance ( Testing );
-\tRegulatory Change Management; and
-\tRegulatory Exam Facilitation ( preparatory reviews, pre-examination assimilation of requested information, on-site exam facilitation, post examination follow up activities and issue monitoring ).

This position will also work closely with Business Line Risk Managers ( 1st Line of Defense ) to ensure effective advisory and oversight of operational activities, as well as provide effective challenge over risk assessments / determinations. The position will also support enterprise and special projects and assist in the evolving, effective and efficient enterprise-wide risk management program.

The scope of regulations for which the CCO is responsible includes, but is not limited to, rules and regulations promulgated by the Federal Reserve Bank ( FRB ), the Office of the Comptroller of the Currency ( OCC ), the Consumer Financial Protection Bureau ( CFPB ), Securities and Exchange Commission ( SEC ), the Financial Industry Regulatory Authority ( FINRA ) and the Federal Financial Institutions Examination Council ( FFIEC ).

Responsible to ensure Corporate wide communication, reporting and support to foster a culture of compliance and collaborative environment for an Enterprise Wide and Holistic program relating to all assigned functional areas of risk management. Required to periodically provide reports to the Operational Risk Committee, Enterprise Risk Management Committee, the Enterprise Risk Committee of the Board of Directors, and the Audit Committee of the Board of Directors.

This position is not eligible for Visa sponsorship.

Due to work requirements, candidates must be located within 30 miles of Green Bay or Milwaukee, WI.

We invite you to view the opportunity below.

As a Chief Compliance Officer, you will:
  • Maintain, communicate, and report on all compliance related policies, programs, internal controls, issues, and initiatives in accordance with current regulatory guidelines and strategic direction established by Executive Management and the Enterprise Risk Committee.
  • Responsible for effective management of the Compliance Management Program, including regulatory compliance advisory and business line support, Community Reinvestment Act, Compliance Risk Assessment, Compliance Quality Assurance, Privacy, Fair Lending and Regulatory Exam Facilitation.
  • Responsible for team and leadership development and engagement. Also responsible for assisting with strengthening risk and compliance culture and the three lines of defense across company.
  • Responsible for staying abreast of legislative changes impacting financial institutions and partnering with the Legal Department when opportunities present themselves to respond to pending legislation.
  • Responsible for ensuring the identification of regulatory changes and industry best practices, including monitoring and supporting the business line in the timely implementation of regulatory changes.
  • Responsible for maintaining an ongoing regulatory training program assuring regulatory awareness and operational effectiveness.
  • Completes regulatory liaison activities, including but not limited to: Examination Preparation: Ensures that all responses to requests for information, whether requested prior to or during the examination, are complete and provided in a timely manner. Supports the business line with management responses and any other follow-up as may be required.
  • Responsible for ensuring that all issues reported by regulators, external auditors, internal auditors, or other supervisory agencies are centrally documented and monitored to ensure proper and timely resolution.
  • Maintain compliance program that includes effective advisory, oversight and effective challenge of the first line of defense and the implementation of compliance processes within first line business units.


Education
  • Bachelor's Degree in Legal, Compliance, Audit or General Risk. Required


Experience
  • At least 12 years of progressive compliance or risk experience within the financial services industry. Required
  • 3-5 years of management experience. Required
  • 3-5 years of management experience including leading multi-level teams. Preferred


Licenses and Certifications
  • CRCM - Certified Regulatory Compliance Manager, CIA - Certified Internal Auditor, or CPA or other compliance or risk related certificate. Preferred


In addition to core traditional benefits, we take pride in offering benefits for every stage of life.
  • Retirement savings including both 401(k) and Pension plans.
  • Paid time off to volunteer in your community.
  • Opportunities to connect with others through our diversity-focused Colleague Resource Groups.
  • Competitive salaries with professional development and advancement opportunities.
  • Bonus benefits including well-being programs and incentives, parental leave, an employee stock purchase plan, military benefits and much more.
  • Personal banking, loan, investment and insurance benefits.


Associated Bank serves more than 120 communities throughout Wisconsin, Illinois and Minnesota and we consider our colleagues critical to our continued success. See why our colleagues continually vote us a best place to work in the Midwest. Join our community on Facebook, LinkedIn and X.

Compliance Statement

Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.

Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR.

Responsible to report ethical concerns as needed to Associated Bank's anonymous Ethics Hotline.

Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contact leavesandaccommodations@associatedbank.com if you need an accommodation at any time during the process.

Associated Banc-Corp is an Affirmative Action and Equal Opportunity Employer. Associated Banc-Corp participates in the E-Verify Program. E-Verify Notice English or Spanish. Know Your Right to Work English or Spanish.

Associated Bank is Pay Transparency compliant.

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