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Director of Compliance Risk Management

5 months ago

Boston, United States Northeast Bank Full time

**Northeast Bank is a full-service community bank and a national commercial real estate lender with offices in Maine, Massachusetts, New York, and California. We are looking for motivated and talented individuals who want to make an impact in a growing company that cares about its employees, customers, and the communities it serves. Northeast Bank provides competitive compensation and benefits, generous PTO, and a hybrid work environment dependent on the role. If you are looking for a growing organization that prioritizes its employees, we encourage you to apply.**

***: Responsible for leading, implementing, and monitoring all aspects of the Bank's compliance management program, including providing strategic direction designed to support organizational growth. The SVP, Director of Compliance Risk Management a) is the appointed Compliance Officer for the Bank and is responsible for the program to ensure that the Bank is compliant with all federal and state banking regulations governing the Bank’s products, services and operations; b) recommends changes to policies, procedures, and training to implement regulatory changes; c) assesses compliance risk and designs and performs reviews to augment the outsourced compliance audit plan; d) addresses or directs to appropriate resources compliance questions and issues for investigation and resolution; and e) is an operational risk and controls advisor to the business lines. This is a key leadership position on the Bank’s Enterprise Risk Management Team.

**RESPONSIBILITIES**:

- Researches and analyzes federal and state banking rules, regulations, and interpretive guidance, and draws well-reasoned conclusions related to their applicability to Bank’s products and services, as well as operational processes and procedures.
- Monitors changes to applicable federal and state banking regulations, laws and policies and advises Bank management in advance of emerging regulatory and compliance issues.
- Guides the Bank in the establishment of appropriate processes and controls designed to ensure compliance with applicable federal and state banking laws and regulations and to ensure appropriate safeguards are in place to prevent, detect, and make corrections to any compliance failures and to mitigate risks.
- Ensures that products and services and related activities provided by the Bank do not create a potential for Fair Lending/UDAAP or other regulatory violations.
- Reviews advertising, brochures, website information, rate sheets, social media postings and any other marketing initiatives to ensure compliance with applicable federal and state banking laws, regulations, and guidance.
- Reviews regulatory or policy required forms, notices, disclosures, etc., providing guidance to business lines on their design/development or revision.
- Develops and presents compliance training sessions for the Board of Directors, management, and employees.
- Collaborates with the Bank’s outsourced internal audit firm to assess risk and determine scope of the annual compliance audit plan. Establishes a second-line internal compliance assessment schedule to augment the compliance audit plan. Monitors management’s corrective action plans that have been developed to cure any compliance or operational related findings.
- Prepares written reports summarizing the findings of the internal compliance assessments.
- Serves as a liaison/contact for FDIC and state compliance examinations and external independent reviews or audits of compliance areas.
- Coordinates and participates in responses to exam and audit concerns and monitors corrective action of all deficiencies identified through exams, audits and self-identified matters. Provides monthly issues status reports to management.
- Monitors the Bank’s consumer complaints program and coordination of responses.
- Serves as the Bank’s Regulation O Officer.
- Manages compliance-related third-party vendor relationships.
- Monitors performance of the compliance management system and related activities, taking appropriate steps to improve its effectiveness.
- Maintains expertise on all relevant federal and state banking regulatory matters through a multi-pronged approach including participation in compliance-related trade associations, ongoing review of relevant trade publications, research into regulatory rulings and interpretations and regulatory and legislative proposals.
- Plans and leads Compliance Committee meetings.
- As a key member of the Enterprise Risk Management Team, performs additional second line risk management functions, including advising on operational risk and controls, as needed.

**KNOWLEDGE, SKILLS, AND ABILITIES**:

- Bachelor’s degree in business administration or equivalent banking or financial industry education.
- Regulatory Compliance Manager Certification (CRCM) preferred.
- Minimum ten to fifteen years of bank regulatory compliance program management and/or advisory experience, with experience in a leadership ca