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Compliance Risk Advisory Senior Compliance Officer

4 months ago

West Monroe, United States The Ladders Full time
Summary

This Senior Compliance Officer level position supports the Compliance Risk Management Team's Advisory Services Group. Advises first line of defense operational and retail business units on compliance risks impacting their day to day operations. Monitors adherence to compliance risks tolerances. Monitors third party vendor risks impacting consumer compliance. Reviews policies and procedures to ensure compliance with regulatory expectations as well as internal compliance risk tolerances. Provides enhanced second line of defense advisory oversight to processes exceeding the bank's compliance risk tolerance.

Primary Duties and Responsibilities

Responsible for performing complex regulatory research and analysis for the Compliance Risk Management Team and the Director of Compliance Risk Advisory Services; assessing regulatory risks and adequacy of operating policies, procedures and processes.
  • Provides day-to-day advice on rules and regulations, compliance policies and procedures, and training for our colleagues and partners in the first line of defense.
  • Contributes subject matter expertise on compliance risk in Deposit and Retail Operations.
  • In conjunction with other members of the Compliance Risk Management Leadership Team, implement legislative and regulatory requirements, whether new or modified; analyzing implications on the Bank's operations and activities.
  • Consult on various enterprise-wide projects relative to compliance and regulatory risks.
  • Assist the Compliance Risk Management Leadership Team in the preparation of risk assessments.
  • Collaborates with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto.
  • Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations.
  • Coordinates responsibility with other Advisory Team Members to ensure complaints are handled and fully documented in a timely manner. Responsible for identifying, researching and documenting root cause as applicable.
  • Coordinates responsibility with other Advisory Team Members for the review and approval of all marketing and advertising requests.
  • Support enterprise compliance risk management responsibilities, including the drafting of regulatory analysis memoranda, policies and procedures, board and senior management reporting, response to consumer complaints, and correspondence with regulators.
  • Monitor the regulatory and political landscape for emerging risk that would influence the Compliance Risk Management space, and the bank's regulatory tolerance related thereto.
  • Participate in the development, implementation and maintenance of new and enhanced compliance processes and controls.
  • Assist with maintaining compliance policies and procedures.
  • Assist with maintaining a centralized inventory of all compliance risk controls.
  • Read, analyze and interpret financial reports, legal documents, governmental regulations and professional publications.
  • Assist in the preparation for and coordination of regulatory examinations, independent compliance audits, and second line Compliance Testing engagements.
  • Communicates effectively with colleagues on the Compliance Risk Management Team, first line of defense business partners, executive management, internal and external auditors, and regulators.
  • Adheres to all designated time frames, manages workflow to the specified deadlines and completes responsibilities in a satisfactory manner.
  • Completes all job-related training and continuing education in a timely manner, and attends seminars or continuing education, as directed.
  • Assist with other Compliance Risk Management Team objectives.
  • Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Advisory Services.


Supervisory Responsibilities

The incumbent is not responsible for the supervision of employees.

Competencies

To perform the job successfully, an individual should demonstrate the following competencies:

Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous complex projects.

Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics.

Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments.

Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information.

Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed.

Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports inclusion and diversity; Embraces trusted advisor role.

Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles.

Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives.

Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position.

Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities.

Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events.

Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions and that of all members of the Compliance Risk Advisory Group; Commits to long hours of work when necessary to reach goals.

Qualifications

To perform this job successfully, expert-level knowledge of regulatory Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Education and/or Experience

Seven (7) years compliance management experience; Prior compliance experience at a large bank subject to direct CFPB oversight and supervision preferred; Expert-level familiarity with federal and state banking regulations preferred; Certified Regulatory Compliance Manager (CRCM) preferred, or similar compliance certification. Experience working as an examiner may be taken into consideration when determining prior compliance requirements have been met.

Computer Skills

To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, PowerPoint, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines.

Bank Culture/Customer Service Skills

Ability and judgment to interact and communicate appropriately with other employees, customers and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank.

Physical Demands

While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus.

Mental Demands

Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions.

Work Environment

The noise level in the work environment is usually moderate.

This job description reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole discretion.

Work Location

Generally, within retail branch and operations footprint. Hybrid and/or remote work may be available at the bank's discretion.

Origin Bank is an equal opportunity employer and we do not discriminate in hiring or employment on the basis of race, color, sex, age, marital or veteran status, non-job related disability, religion, national origin, genetic information or any other basis protected by law.