Compliance Manager
2 weeks ago
Supports the Bank's business units by implementing and overseeing a regulatory Compliance Management System (CMS) and Fair Banking program designed to achieve proactive compliance with applicable statutes.
There are important qualities you look for in an employer – meaningful work, community engagement, competitive benefits, commitment to employee development, and so many more. At Bankers Trust, our team members experience an inclusive and community-focused culture and we’re proud of the premier workplace we’ve created. We regularly receive best in class results through our biennial employee engagement survey. We’re also proud to receive recognition from others, including our designation as a “Best Place for Working Parents®,” being a four-time recipient of the Greater Des Moines Partnership’s Inclusion Award, and being named one of the “Best Businesses Supporting Local Charity” by readers of the
Business Record .
Job Summary:
The Compliance Manager supports the Bank's business units by implementing and overseeing a regulatory Compliance Management System (CMS) and Fair Banking program designed to achieve proactive compliance with applicable statutes, regulations, and guidance while providing guidance and vision in the Bank's execution of business plans promoting the Bank's goals of performance and growth. The Compliance Manager will serve as a liaison and subject matter expert to the business unit and will be responsible for the coordination and execution of team wide oversight, including monitoring, reporting and planning. The applicable statutes, regulations, and guidance are primarily those included in federal and state consumer compliance examinations and other statues and regulations, as assigned. The Fair Banking statutes, regulations and guidance include, but are not limited to, Community Reinvestment Act (CRA), Unfair Deceptive and Abusive Acts and Practices (UDAAP), HMDA and FHA.
Primary Functions and/or Responsibilities:
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Implements, oversees, and manages a bank-wide CMS and Fair Banking program designed to mitigate compliance risk associated with regulatory compliance, including the following:
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Develops and directs the implementation of effective compliance strategies to assess risks and anticipate regulatory issues; and identifies opportunities to simplify and drive consistency of solutions to strength compliance;
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Assesses, documents, and reports the compliance risk facing the Bank, including the creation of a Compliance Risk Assessment and Fair Lending Risk Assessment;
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Independently creates, and collaborates with business managers in creating, policies and procedures to address technical regulatory requirements and other compliance risks;
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Supports business unit managers in the design and implementation of workflows, work papers, and tools that achieve compliance and mitigate compliance risks;
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Implements and oversees a risk-based compliance monitoring program and generates reports for presentation to the Bank and Board on the performance of the same;
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Implements and oversees a bank-wide complaint reporting and response program and generates reports for presentation to the Bank and Board on the performance of the same; and,
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Monitors and implements new and changing regulations and adjusts the CMS and Fair Banking program, accordingly.
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Hires and provides direct oversight to the compliance analysts, fair banking officer, and compliance officers, promoting their growth and development.
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Provides oversight for the bank's compliance with annual HMDA and CRA data submission.
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Implements, oversees, and manages a comprehensive compliance training program including curriculum and vendor selection as well as creation and delivery of original training content, in cooperation with business-line managers.
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Manages and oversees the Compliance Department in facilitating and responding to internal and external program audits and regulatory examinations.
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Leads and actively participates as a Compliance and Fair Banking representative on various business-based governance committees.
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Serves as a subject matter expert to oversee compliance and fair banking concerns in Bank projects, committees, initiatives, and compliance or fair banking inquiries and fosters an environment that ensures strong communication and cooperation throughout the Bank to facilitate transparency, balance and credible challenge.
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Oversees the review of Bank marketing and advertising to ensure compliance with regulatory requirements.
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Performs other duties as assigned
Education and/or Experience:
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Four-year college degree in a related field preferred OR an equivalent combination of education and experience
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At least five years of experience in compliance, audit, quality control, or legal required
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Managerial/supervisory experience strongly preferred
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CRCM and FLE preferred, or obtained within one year of assuming the role
Specific Skills, Knowledge & Abilities:
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Ability and willingness to learn independently and continuously through reading, research and formal industry training
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Ability to foster relationships and work collaboratively with employees at all levels of the organization and with regulators
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Expert knowledge of consumer compliance regulations
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Knowledge of Bank products and processes
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Ability to translate complex requirements into actionable steps
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Working knowledge of bank platforms, i.e., Logic Manager, Risk Exec, Laser pro, etc., preferred
AFFIRMATIVE ACTION/EQUAL OPPORTUNITY EMPLOYER
“PROTECTED VETERANS” AND “INDIVIDUAL WITH DISABILITY”
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