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Sr. Compliance Officer, Monitoring, Testing, and Audit
4 months ago
Summary:Overall responsibility for risk management and compliance with federal and state banking laws and regulations related to regulatory compliance. Responsible for developing, implementing, and maintaining systems and processes to ensure ongoing compliance and development of the Compliance Management System. Wage Type: Salaried ExemptThis position is available for remote or onsite work options.Essential Duties & Responsibilities:To perform this job successfully, an individual must be able to perform each of the essential duties satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.Works closely with management to create a culture of best practices in compliance that is clearly aligned with regulatory requirements, organizational values, and operating principles to support bank operations.Supports the development, implementation, and administration of Bank programs to establish controls, necessary training, and compliance program development to mitigate risk.Research federal and state banking and lending laws and regulations, reviews the financial institution's policies and procedures, and ensures financial institution compliance with laws and regulations.Acts as a subject matter expert to the bank with information to accurately determine the institution's extent of compliance and minimize risk to the association.Advises on regulatory compliance topics and assists with assists with completing third-party due diligence and ongoing compliance monitoring plans.Conducts marketing reviews internally and for third-party service providers.Serves as advisor and custodian of compliance related disclosures, notices, terms and conditions, deposit agreements, fee schedules, and deposit and loan agreements approved by compliance. Manages the bank's complaint program and handles issue through to resolution. Carries out responsibilities in a manner consistent with our values and operating principles, in accordance with policy and applicable laws, and with a commitment to commitment to continuous improvement and process excellence.Any other duties as assigned.Key Deliverables:Lead the development and implementation of policies and procedures.Consistently improve internal and external compliance audit findings.Process effectiveness, efficiency, and control.Manages key components of the compliance program, including but not limited to regulatory change management, accuracy of HMDA and CRA loan data integrity, complaints process, and advertising reviews.Organizational Structure:Reports to: Chief Compliance OfficerSupervises: Compliance Analyst(s) and outsourced compliance analyst(s)Qualifications:Education:Bachelor's Degree in Business or Related Field.Master's Degree is a plus.Required Knowledge/Skills:3 years management experience.5+ experience as a compliance officer or similar position in financial services.Strong knowledge of consumer regulatory compliance regulations including but not limited to loan and deposit compliance requirements such as TISA, TILA, SAFE Act, fair lending, HMDA, TRID, ECOA, Reg E, Reg CC, Reg O, Flood compliance, FCRA, , privacy, and Community Reinvestment Act. Extensive knowledge of financial institution policies and procedures.Extensive ability to read, analyze and interpret government regulations, trade journals and legal documents. Must be able to respond to common inquiries from regulatory agencies, courts, and outside consultants. Periodic travel to home office, branch locations, and other meetings as necessary (5 to 10% travel).Desired Knowledge/Skills:CRCM Certification7+ years in banking operations, compliance, and/or risk management. Talents:Strong positivity.Mission driven, competitive, goal oriented, and motivated to develop themselves and others.Energetic, resourceful, and appropriate work intensity to get the work done Strong people acumen and relationship skills; Naturally pre-disposed to quickly establish positive personal and professional relationships.TransPecos Banks will not accept unsolicited resumes from any source other than the candidate. We will consider any candidate for whom an Agency submits an unsolicited resume, to have been referred to us by the Agency free of any charges or fees, other than those agencies we engage on a specific search. TransPecos Banks will not pay a fee for any placement resulting from the receipt of an unsolicited resume.
