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Compliance Officer

4 months ago

Blue Springs, United States The Ladders Full time
Lead Bank is a chartered banking-as-a-service platform for builders and innovators. Despite broader economic headwinds, the continued proliferation of fintech companies and a 20x increase in fintech investment ($20.5 billion in 2020) signals that the market's interest in embedding financial services products into their offerings is resilient and sustainable. Whether it's a travel company that wants to offer credit for an expensive trip, a social network that wants to enable in-feed shopping solutions, or an ecommerce platform that wants to provide client rewards cards, the broader tech ecosystem has enjoyed a step-change in the sophistication, variety and complexity of client-facing products they can offer. This means that the underlying infrastructure powering those fintechs needs to evolve to meet these modern demands.

While fintech companies continue pushing boundaries, they have largely accepted that directly integrating with banks is costly, time-consuming and operationally burdensome. This frustration comes in many forms: gaps in technical acumen, product scalability, client risk appetite, and company culture. These gaps clearly illustrate the need for a new paradigm in banking technology.

Lead Bank is bridging those gaps. We see a massive opportunity for a tech-savvy developer-focused bank to augment a sophisticated financial services platform with the compliance, regulatory, capital markets, and legal expertise required to help our clients succeed. Come join us on our journey.

Role Description: We are seeking a Compliance Officer to join our growing team to oversee the Bank's Community Banking portfolio. Under the direction of the Head of Risk and Compliance, the Compliance Officer will oversee the various program verticals of the community banking compliance function, including overseeing compliance policies, managing the Bank's Internal Testing & Monitoring program, maintaining the Bank's Community Reinvestment Act plan and goals and acting as the primary compliance advisor to our community bankers.

In this role you will:
    • Lead and manage the day-to-day Compliance program for Lead's Community Banking program which consists of consumer and commercial retail banking and lending and possess comfort with Reg E, CRA, UDAAP, MLA, SCRA and Fair Lending regulations
    • Work closely with management to support and/or maintain compliance related exam and audit requests, the Bank's compliance training program, and oversee the Bank's Community Reinvestment Act Program and Lead the community banking Internal Testing & Monitoring program
    • Serve as the Bank's subject matter expert for traditional bank compliance matters for products and services currently offered, as well as future products and services the Bank develops
    • Collaborate with Bank leadership to maintain a completed and detailed program for compliance that reflects the evolving regulatory landscape
    • Oversee the Bank's CRA eligible loans and track to annual and longer term strategic goals; work closely with the Bank's lending department to understand eligble loans and business pipeline
    • Develop and maintain a comprehensive compliance testing & monitoring program to ensure that internal Bank personnel adhere to established procedures and practices and execute on testing & monitoring activities across the Bank's first line function
    • Lead and oversee the community bank's consumer complaint process, inclusive of maintaining up to date documentation, and assisting in front line responses to regulatory complaints
    • Provide compliance review and day-to-day engagement with business units that produce Bank product information including web content, applicant brochures, packaging, television and radio spots, telemarketing scripts, direct mail and email messages, and similar marketing and promotional materials as assigned
    • Provide compliance advisory and day-to-day engagement with units including retail branch banking, retail portfolio lending and other components of traditional community banking activities
Qualifications:
    • 8+ years experience in a bank consumer compliance management and/or lead role
    • Previous experience reviewing, analyzing, recommending, and reporting on the activities of Bank departments as it pertains to compliance matters, including internal testing & monitoring and CRA
    • CRCM certification preferred
    • Foster divergent opinions
    • Thrive working in a fluid environment with high autonomy
    • Love to collaborate to get the best, most efficient outcome
    • Embody the growth mindset and bring a self-driven and self-starter mentality to your work
    • Have high ethical standards
    • Use a systematic approach in solving problems through analysis and evaluation of alternative solutions
    • Analyze complex problems and recommend creative solutions while maintaining compliance with all laws and regulations
What we offer:
    • At Lead, we design our benefits to support company culture and principles, to foster an efficient and inspiring work environment, and to create the conditions for our team to give their best in both work and life
    • Competitive compensation, including opportunities for equity grants, based on experience, geographic location, and role
    • Medical, Dental, Vision, Life, 401k Matching, and other wellness benefits, including FSA, HSA and HRA
    • Paid parental leave
    • Flexible vacation policy, including PTO and paid holidays
    • A fun and challenging team environment in a dynamic industry with ample opportunities for career growth


*Lead Bank is proud to have an inclusive culture committed to ensuring equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.

*Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.