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Quality Control and Compliance Officer

3 months ago

Beverly Hills, United States City National Bank Full time

Overview:
**QUALITY CONTROL AND COMPLIANCE OFFICER**

**WHAT IS THE OPPORTUNITY?**

Assists the PB Unit with lending-related compliance issues. Identifies risks and internal control weaknesses. Ensures that all loans are in compliance with company policies and procedures and state/federal regulatory guidelines. Assists in the development and maintenance of Quality Control (QC) program.

**What you will do**
- Develop, maintain, and communicate the PB compliance program using appropriate internal controls, policies and procedures, and monitoring. Plan and perform compliance reviews to evaluate the departments control environment.
- Assist in the development and maintenance of Quality Control (QC) program. Ensure that policies and procedures are developed to address risks and regulatory requirements. Verify the existence and accuracy of legal documents and credit documents.
- Review the designated sample size of all approved and renewing loans for compliance with Reg. B, Z and CRA, FCRA, HMDA as well as department procedures and credit policy. Review all declines, monthly, to ensure compliance with applicable regulations and accuracy of Notices of Adverse Action. Review 100% of non-funded loans for regulatory compliance and conformance with timing, notification and secondary reporting such as HMDA. Maintain department compliance database ensuring that all required sampling is performed within required guidelines. Monitor and prepare HMDA and Reg O reports for management review and approval.
- Promote and support employee awareness and knowledge of compliance polices. Provide immediate feedback to colleagues, team leaders and management of trends encountered during review and established monitoring processes. Work with management and business systems analyst to ensure that the monitoring database remains current with regulatory, policy and procedure changes. Participate in the training process of applicable colleagues including developing specific training, creation of job aids and communication of same to colleagues.
- Ensure integrity of data contained in all database platforms used internally to effectively monitor regulatory compliance. Monitor pipeline and new business entries to ensure high risk potential transactions are correctly entered into the platform to both prevent regulatory exceptions as well as to ensure proper reporting as transactions are approved or closed.
- Attend and participate in compliance meetings and as assigned as a representative of the Credit Support team. Attend Lending compliance training meetings as required to discuss relevant issues and to determine possible impact to the unit. Communicate to management to determine relevant course of action or procedural change as a result of such attendance.
- Identify risks and internal control weaknesses to ensure Lending activities meet with Bank policy, legal and regulatory requirements. Recognize compliance problems and recommends corrective action. Monitor new and/or revised laws and regulations affecting compliance as communicated via published communication alerts and/or corporate compliance directives. Implement a plan for addressing changes through training or creation of policies and procedures in conjunction with such communications.

**Must-Have**
- Bachelor's Degree or equivalent
- Minimum of 7-10 years of experience in Compliance or Operations laws and regulations required.
- Minimum 7 years of experience in a banking or lending environment required
- Minimum 3 years of experience working with Federal and State lending and compliance regulatory matters
- Minimum 5 years of experience with Microsoft Office required

**Skills and Knowledge**
- Regulatory or Compliance Audit experience with a regulated financial institution is preferred.
- Thorough knowledge of related state and Federal banking regulations Reg. B, Reg. Z, RESPA, HMDA, Fair Housing, FCRA/FACTA etc
- Excellent oral, written and interpersonal communication skills with the ability to convey complex concepts in a clear and concise manner and provide clear guidance to all levels of staff, adapting the communications to the experience and knowledge level of the target audience.
- Ability to analyze complex situations, understand new regulations and environmental changes. Have the ability to work closely with compliance staff to keep department procedures aligned with regulatory and corporate requirements.
- Ability to effectively train and guide others in a classroom or one-on-one environment. Monitor training collateral to ensure alignment with current procedures and regulations.

**Compensation**

Starting base salary: $71,869 - $114,797 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
- **To be considered for this position you must meet at least these basic qualifications**

The preceding job description has been designed to indicate the general nature and level of work performed by