Banking First Line Compliance Manager

3 weeks ago

Knoxville, United States FirstBank Full time
Description

This position is NOT remote eligible. This position will work in the Nashville, Franklin, Knoxville, or Lexington, TN FirstBank office.

Summary:

The First Line Compliance Manager is responsible for leading the bank's First Line of Defense for compliance. The First Line Compliance Manager will partner with all segments of the bank to help with the development, implementation and execution of the institution's first line controls and monitors within the various areas of the bank. This position performs complex-level professional compliance work; serves as an advisor to business owners and management; assesses Compliance Department audit exception findings across the enterprise and collaborates with Business Owners and Compliance to mitigate such risks; manages and assists with compliance assessment remediations which include internal and operational controls, processes, practices, policy, risks, as well as regulation violations. The First Line Compliance Manager will collaborate with the Compliance Liaison within business services to ensure all compliance requirements are met by the field.

Essential Duties and Responsibilities:

  • Manage the receipt and review of incoming audits and reviews conducted within the bank segments. Assist in preparation of management responses and development of remediation plans to ensure adherence to established timelines.
  • Partner with business segments and unit managers to develop a working knowledge of daily functions and responsibilities along with the processes and procedures required to fulfil those responsibilities.
  • Apply the understanding of the various activities to the development of monitors of identified key controls around compliance and risk. Seek input of the managers as to the highest priorities.
  • Perform research in areas of compliance to ensure a good understanding of the recommendations and findings presented in audits.
  • Coordinate training efforts with the training department to ensure adequate participation and buy-in from the field.
  • Work in partnership with the bank segments and business owners to identify and address any areas requiring improvement in advance of formal audits.
  • Lead the development of bank procedures to be implemented at the first line promoting compliance with regulations in all regions.
Qualifications:

To perform this job successfully, an individual 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.
  • Demonstrated detailed knowledge of banking regulations.
  • Demonstrated understanding of bank processes and procedures related to bank operations.
  • Ability to work effectively under the pressure of deadlines.
  • Demonstrated ability to communicate effectively verbally or in writing with all levels within the company. This includes communicating potential needs for improvements in a way that fosters teamwork and cooperation.
  • Willingness to complete training courses that are available to compliment work experience.
Education and/or Experience:
  • 5 years or more experience in bank compliance and areas of bank operations or a combination thereof.
  • High School Diploma or equivalent is required.
  • College degree in relevant area is a plus
  • Compliance certifications are a plus


FirstBank does not accept unsolicited resumes from agencies and staffing firms. Recruitment agencies and consultants may not submit resumes directly to managers. FirstBank will not pay fees to any third-party agency or company that does not have a signed agreement as an approved vendor.FirstBank in an Equal Opportunity Employer, including disability.

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