Senior Compliance Specialist

3 weeks ago

Auburn Hills, United States Oxford Bank Full time
Job DescriptionJob Description

Job Summary
To assist in developing, implementing, and maintaining of the Bank’s Compliance Program. This role is expected collaborate with internal stakeholders, auditors, regulatory examiners, and third-party vendors to ensure regulatory risk is identified, monitored and mitigated.


Responsibilities
• Effectively communicates with various departments to provide responses to compliance inquiries as they relate to the various federal and state banking regulations
• Seeks out, develops and maintains knowledge and skills through completion of continuing education and training pertinent to the position
• Reviews, analyzes, and provides guidance on all aspects of bank compliance, including but not limited to new and changed regulations; new, modified, and expanded bank products and services; changes in bank processes; and customer complaints
• Assesses and advises management on regulatory compliance risk
• Executes or oversees the execution of compliance reviews to periodically evaluate the bank’s level of compliance with banking laws and regulations.
• Reports on compliance risk through written reports to, presentations to, and discussions with management at all levels of the Bank
• Must understand all applicable laws and regulations that apply to the position and comply with the requirements
• Responsible for the completion of all compliance training related to the position
• Ensure all monitoring performed complies with policies and procedures established by the Regulatory Risk department
• Continually evaluate methods, processes, procedures and risks to identify any significant compliance and control issues, making recommendations to strengthen function when needed
• Analyze findings, provide recommendations and completion for corrective action, evaluate management responses for appropriateness and perform validation review
• Communicate with lines of business and senior management regarding monitoring results and document appropriately
• Follow compliance schedule and perform all tasks effectively and timely
• Assist with the preparation and coordination of regulatory examinations and internal or external audits
• Lead or assist with the validation of corrective actions related to exam or audit recommendations.
• Knowledge of training needed for all Bank employees and work effectively to create course offerings

•Responsible to prepare the Risk Assessment for Compliance Officer to review and approve.

•Responsible to prepare CRA reports for CRA Officer complete the assessment.

•Responsible to propose compliance review schedule, confirm it is being followed, and escalate, if needed.

•Responsible to participate in recommending compliance training for all teams.
• Special compliance projects
• Other duties as assigned

Qualifications and Skills
• Extensive knowledge of loan and deposit compliance laws and regulations:
o Fair Lending
o CRA
o Privacy including GLBA
o HMDA
o TRID
o Flood
o Closed and Open-end credits
o Deposit regulations
• Strong analytical and decision-making skills
• Demonstrates a proficiency with various compliance software tools and systems relating to bank compliance
• Excellent written and verbal communication and interpersonal skills required to effectively work with employees at all levels and banking agencies
• Ability to work in Microsoft applications (Excel, Word, Outlook, etc. )
• Knowledge of Jack Henry Silverlake preferred
• Ability to work effectively in a team environment

Committee Secretary
• Prepare Audit/Compliance Committee meeting materials
• Prepare minutes for Audit/Compliance Committee meetings


Education and Experience
• Minimum of two to three years of bank compliance experience; auditor or examiner experience
• Bachelor’s Degree Preferred

*This position will comply with all BSA compliance laws and regulations including the Bank’s BSA policy and procedures.

Additional Information
Department: Regulatory Risk • Reports to: Regulatory Risk Department Leader •
Travel: Under 25% Classification: Exempt • Employment Type: Full-time • Supervises: None

“Oxford Bank is an equal opportunity employer and is committed to providing equal employment opportunities and an environment free of discrimination and harassment. All employment decisions at Oxford Bank are made without regard to age, race, color, religion, gender, sexual orientation, gender identity, national origin, veteran or disability status.”

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