Financial Compliance Officer

2 weeks ago

Austin, Texas, United States CAPPS, Inc. Full time
Job Overview

To be considered for this position, complete college transcripts demonstrating all coursework must be uploaded in CAPPS (under "File Attachments").

Mission Statement:

The Texas Department of Banking is dedicated to maintaining a secure, sound, and competitive financial services framework in Texas.

General Overview:

Under general supervision, this role involves providing regulatory assessments and responses related to the operations of banks, trust companies, data processing centers, and other regulated entities to evaluate their financial health and adherence to statutory obligations. Recommendations for enforcement actions or corrective measures for institutions will be made as necessary.

Key Contacts:

This position entails direct communication with the Commissioner, Deputy Commissioner, Division Directors, Regional Directors, Regional Review Examiners, field examiners, legal counsel, management of regulated entities, boards of directors, staff, consumers, and other regulatory bodies.

Responsibilities:
  • Conducts reviews of regional examination reports at the Austin Headquarters to ensure accuracy, timeliness, and thoroughness of reports, bank files, working papers, and compliance with examination priorities.
  • Evaluates examinations and formulates regulatory responses, including formal or informal enforcement actions, corrective programs, or institution closures for the Commissioner or Deputy Commissioner’s approval.
  • Monitors responses and assesses the appropriateness of submitted policies, plans, and other corrective actions related to enforcement actions or regulatory requirements.
  • Maintains communication with field staff regarding changes or inquiries about reports or ratings.
  • Coordinates responses and resolutions with relevant federal regulatory agencies.
  • Stays informed about laws, regulations, policies, and procedures of federal or other regulatory agencies that may impact the Department.
  • Facilitates timely communication and implementation of policies and procedures to agency personnel and related entities.
  • Ensures consistent application of the Department's policies, procedures, and regulatory responses.
  • Participates in the commissioning process as a panelist to ensure fair and thorough evaluations of candidates.
  • Assists regional staff with examination schedules to ensure compliance with examination priorities.
  • Engages in on-site examinations as directed, including loan reviews at larger regional banks.
  • Monitors the performance of the banking or trust industries as directed and prepares summary reports.
  • Assists in addressing consumer complaints and inquiries when appropriate.
  • Collaborates with legal staff on matters related to opinions or interpretations requested by examining personnel, regulated institutions, or others.
  • Prepares internal reports as directed.
  • Reviews federal examination reports on banks and holding companies for verification of findings, compliance with laws, and risk assessment.
  • May assist with internal training sessions.
  • Completes special projects as assigned.
Qualifications:

Minimum Required Qualifications:

Experience and Education
  • Graduation from an accredited four-year college or university with major coursework in finance, accounting, business administration, or economics, including a minimum of six hours (nine preferred) in accounting covering basic and/or intermediate accounting.
  • A complete copy of college transcripts must be submitted with your CAPPS application to be considered. (Foreign education credentials must be evaluated by a NACES or AICE member credential evaluation service.)
  • Ten years of progressively responsible experience in the regulation, examination, and analysis of financial institutions.
  • Must be a current or former (recent) bank examiner commissioned by the FDIC, Federal Reserve, OCC, Texas Department of Banking, or another approved state banking authority. Internal applicants must have completed all phases of the Department's BETS/Commissioning Panel, including required schools for the grade level.
  • Demonstrated excellent personnel supervisory skills, including three years of current experience in management and supervision.
  • Possess and exhibit a thorough working knowledge of bank operations and banking laws.
Preferred Qualifications:
  • Experience working with a financial institution and completion of graduate banking school.
  • Supervisory experience within the last three years regarding commercial bank safety and soundness risk profiling, work procedures, and issues.
  • Bilingual in Spanish and English with the ability to communicate effectively, both verbally and in writing.
Special Requirements:
  • This position requires up to 20% overnight travel.
  • Must possess or obtain within six months a valid Texas Driver's license. Satisfactory driving records are required for driving any vehicle to conduct agency business. Final applicants must certify that personally owned vehicles used for agency business have Texas minimum liability coverage and a valid state inspection.
  • This position requires the incumbent to demonstrate strong personal financial responsibility and integrity.
  • Final applicants may be subject to an employment credit check, driving record check, and criminal background check.
Knowledge, Skills, and Abilities:
  • Excellent oral and written communication skills.
  • Proficient in the use of personal computers, including Microsoft Word and Excel.
  • Knowledge of statutory requirements, business operating procedures, and reporting techniques.
  • Understanding of banking regulatory principles and practices.
  • Ability to review and audit financial data and records.
  • Skilled in preparing evaluations, recommendations, and reports.
  • Ability to maintain effective working relationships with supervisors, co-workers, team members, regulated entity employees, and the public.
  • Self-motivated with the ability to exercise initiative and independent judgment.
  • Ability to maintain confidentiality and handle sensitive information.
Registration, Certification, or Licensure: None Required.

Physical and Cognitive Requirements:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

This position requires the incumbent to primarily perform sedentary office work; however, mobility (standing and walking) is routinely required to carry out some duties. It requires extensive computer, copiers, printers, telephone, and client/customer contact. The job also requires normal cognitive abilities requiring the ability to learn, recall, and apply certain practices and policies. It requires the stamina to maintain attention to detail despite interruptions. Marginal or corrected visual, speech, and auditory requirements are necessary for reading printed materials and computer screens and communicating with internal and external customers.

This position requires:
  • Regular and punctual attendance.
  • Frequent use of personal computer, copiers, printers, and telephones.
  • Frequent sitting.
  • Frequent work under stress, as a team member, and in direct contact with others.
  • Overnight Travel: Up to 20%.
Application Process:

Applications should be submitted online through CAPPS Recruit at:

Your job application must be complete and thorough, including responding to all supplemental questions. Your application must contain complete job histories, which includes job titles, dates of employment, name of employer, and a description of duties performed. If this information is not submitted, your application may be rejected because it is incomplete. Resumes do not take the place of this required information.

Transcripts:

If education is used to meet the minimum requirements of the job posting, a copy of college transcript(s) issued from the registrar must be uploaded in CAPPS for your application to be considered complete. Foreign education credentials must be evaluated by a NACES or AICE member credential evaluation service.

Military Crosswalk information can be accessed at:

Remarks:

State law prohibits any employee of the Department from being or becoming "directly or indirectly indebted to, or financially interested in an entity supervised or regulated by the Banking Commissioner."

E-Verify: This organization participates in E-Verify. This employer will provide the Social Security Administration (SSA) and, if necessary, the Department of Homeland Security (DHS), with information from each new employee's Form I-9 to confirm work authorization.

The Texas Department of Banking is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, sex, national origin, veteran status, age, or disability in employment or the provision of services. A disabled individual requiring reasonable accommodation shall not be denied opportunity due to the disability. The applicant should contact Human Resources if reasonable accommodation is required during the application process.

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