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Compliance Officer

4 months ago

Pittsburgh, United States TriState Capital Holdings, Inc. Full time

Compliance Officer

Department: Compliance

Location: Pittsburgh, PA

Job Title: Compliance Officer

Department: Compliance

Location: Pittsburgh, PA

Summary of the Position:

The Compliance Officer serves in an advisory role to the Bank on banking laws and regulations pertaining to lending and deposits and oversees relevant portions of the Bank's Compliance Management System (CMS). The CMS includes a risk assessment process, prevention and detection controls, compliance training, regular compliance reviews and reporting, consumer complaint management and regulatory communication with department heads and senior management.

Primary Functions of the Position:

* Assist in the overall implementation of the Bank's Compliance Management System and in the ongoing administration of the Bank's risk management program.
* Stay abreast of federal and state regulatory changes. Report such changes to management, operational and business lines. Assist in determining appropriate adjustments to the Bank's compliance risk profile as well as implementation of applicable regulatory changes.
* Review internal products, processes, policies and procedures, marketing programs, advertising materials and other communications to identify applicable regulatory risks and related controls.
* Participate in new product development, system initiatives and other projects to ensure potential compliance related issues are adequately addressed. Make needed adjustments to the Bank's compliance risk profile and provide recommendations to adjust monitoring and testing plans, if appropriate.
* Establishment and execution of an applicable monitoring and testing program for specific regulatory areas of responsibility.
* Identify control weaknesses or gaps and work with department managers to correct deficiencies, including assisting business partners with identifying the root cause of issues identified.
* Provide recommendations to the 1st Line of Defense on compliance risks, processes and controls.
* Develop and execute periodic risk assessments for applicable regulatory areas of responsibility.
* Participation in bank committees applicable to areas of responsibility to evaluate regulatory risk and provide feedback.
* Report to Compliance Management on any suspected violations of law, regulations or non-compliance to Company policy and take responsibility to ensure resolution.
* Participate in the preparation and management of audits and regulatory examinations.
* Partner with business and operational units to remediate compliance findings identified in internal and external examinations and audits. Provide comprehensive risk-based solutions to complex problems or issues cited within regulatory reviews.

Education and Experience Requirements:

Bachelor's Degree in a business-related field, or equivalent combination of education and experience

* Minimum of 5 years of progressive compliance and regulatory banking experience
* Computer literacy and proficiency with Windows based applications and MS Office
* CRCM designation is a plus.

Essential Skills and Abilities:

* Strong working knowledge of banking laws and regulations pertaining to lending and deposits.
* Strong oral and written communication skills. Ability to present ideas in a clear, concise, understandable, and organized manner.
* Effective planning, organizational, time management, and problem-solving and analytical skills.
* Ability to work effectively and maintain composure under pressure. Skilled at handling a variety of assignments simultaneously. Flexibility and willingness to work at a rapid pace in strict time frames.
* Ability to work independently and without direct or continuous supervisory support.
* Exhibit professionalism and diplomacy in all interactions with colleagues, senior management, and internal and external business partners.

TriState Capital Bank provides equal employment opportunity and advance in employment to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law.

TriState Capital Bank is an Equal Opportunity Employer.

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TriState Capital Bank provides equal employment opportunity and advance in employment to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law.

TriState Capital Bank is an Equal Opportunity Employer.