Regulatory Compliance Supervisor

2 weeks ago

Tampa, Florida, United States Amerantbank Full time
Job Overview

The Compliance Audit Manager will oversee regulatory compliance assessments conducted by internal teams or external partners, along with the validation of findings from these audits. This position plays a crucial role in shaping the Internal Audit Compliance Strategy and the Compliance Risk Assessment for Auditable Entities.

Key Responsibilities:

  • Support the Internal Audit division, with a specific emphasis on audits related to banking regulations, compliance risk management, and integrated assessments of compliance risks and management programs.
  • Collaborate with leaders across various business units, Risk/Compliance/Audit professionals, and other relevant stakeholders to ensure the Internal Audit Plan is aligned with the organization’s risk landscape.
  • Lead compliance audits and initiatives that ensure adherence to federal, state, and local laws and regulations.
  • Maintain and update the Internal Audit Compliance Risk Assessment and ensure the Compliance Universe reflects current trends and business changes.
  • Facilitate the identification of process gaps and implement solutions to mitigate losses due to insufficient internal processes, systems, or human errors.
  • Proactively identify, respond to, and escalate risks as necessary.
  • Monitor and evaluate the corrective actions taken by management to address Internal Audit findings.
  • Influence policies and procedures to enhance profitability while minimizing regulatory risks.
  • Foster effective partnerships with business lines and second line of defense stakeholders.
  • Stay informed about regulatory guidance and shifts in the regulatory environment.

Educational and Certification Requirements:

Preferred qualifications include ACAMs and Certified Internal Audit certifications. A Bachelor’s degree or equivalent professional experience is required.

Experience Requirements:

A minimum of 10 years of professional experience, with at least 5 years in supervisory roles.

Essential Knowledge and Skills:

  • In-depth knowledge of relevant laws, regulations, and regulatory trends affecting the assigned business area, including consumer compliance lending and deposit regulations.
  • Comprehensive understanding of the operations, products/services, systems, and associated risks/controls within the business line.
  • Strong grasp of Risk/Compliance/Audit competencies.
  • Proven leadership and management capabilities in overseeing processes, projects, and teams.
  • Excellent written and verbal communication skills.
  • Robust analytical, problem-solving, and negotiation abilities.

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