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Compliance Officer

2 months ago

New York, New York, United States Social Capital Resources Full time
Compliance Officer Job Description

Social Capital Resources is seeking a highly skilled Compliance Officer to join our team in Midtown, Manhattan. As a Compliance Officer, you will play a critical role in ensuring our commercial bank adheres to all applicable laws, regulations, and in-house policies and procedures.

Key Responsibilities:
  • Compliance Program Development: Develop and maintain a comprehensive compliance program that includes policies, procedures, and practices to ensure adherence to regulatory requirements.
  • Regulatory Expertise: Stay up-to-date with all regulatory developments and requirements, and provide expert guidance to business units on relevant compliance issues.
  • Compliance Examinations and Audits: Manage compliance examinations, audits, and regulatory inquiries, and liaise with business partners to provide requested information.
  • Compliance-Related Initiatives: Manage compliance-related initiatives, such as the implementation of new compliance systems, controls, and related project management efforts.
  • Compliance Risk Assessments: Oversee and complete all annual compliance risk assessments and monitoring plans, including the Bank's direct deposit and lending functions.
  • Compliance Testing: Design, lead, and conduct compliance testing of bank and fintech customers.
  • Complaints Management: Maintain ownership over Bank, fintech, and agency complaints, including weekly review and annual complaints program reviews and revisions.
Qualifications:
  • Bachelor's Degree
  • 7+ years of experience working within compliance at a commercial bank
  • Strong experience with consumer compliance laws and regulations
  • Prior experience covering fin-tech clients from a compliance perspective is a plus
  • Knowledge in consumer compliance laws and regulations
  • CRCM certification would be a plus