Vice President, Compliance Testing

4 weeks ago

Pleasant Grove, United States Capital Community Bank Full time

Summary: The Vice President of Compliance Testing will lead and oversee the AML/CFT and compliance testing function at CCBank. This role is responsible for ensuring the institution's operations, processes, and products are fully compliant with applicable regulatory requirements, internal policies, and industry best practices. This role will work closely with the Compliance, BSA, Risk, Audit, Legal, and Operational teams to design, implement, and evaluate testing programs for the community bank as well as the bank's fintech partnerships to mitigate compliance risks and maintain a strong compliance culture within the organization.

Key Responsibilities:

  • Compliance Testing Program Development & Execution:
    • Develop, implement, and maintain a comprehensive compliance testing program that assesses adherence to regulatory requirements, internal policies, and industry standards, through continuous control testing scenarios.
    • Design and execute risk-based compliance testing procedures, ensuring thorough testing of key controls, processes, and activities across all business units and fintech partners.
    • Coordinate with business units and fintech partners to schedule, conduct, and evaluate compliance tests, providing clear and actionable findings and recommendations.
  • Risk Assessment & Monitoring:
    • Ensure the testing program is aligned with the institution's overall risk management framework.
    • Track and monitor remediation efforts to ensure timely and effective resolution of compliance deficiencies or violations identified during testing.
  • Regulatory Reporting & Documentation:
    • Prepare detailed reports summarizing compliance testing results, findings, and recommendations for Executive Management, the Board of directors, and regulatory authorities as needed.
    • Maintain accurate documentation of all testing activities, methodologies, and outcomes in line with regulatory and internal audit requirements.

  • Collaboration & Advisory:
    • Collaborate with internal stakeholders, including legal, risk, audit, operations, and business units, to ensure that compliance requirements are integrated into daily operations and business processes.
    • Provide guidance and advice to business units on compliance matters, including changes in regulations or internal policies, and assist in developing corrective action plans when necessary.
    • Identify potential control issues and work with control owners to implement remediation plans.
  • Team Leadership & Development:
    • Lead, mentor, and develop a team of compliance testing professionals, fostering a collaborative, high-performance culture.
    • Provide training to staff and business units on compliance-related topics and best practices.
  • Regulatory Change Management:
    • Stay current with evolving regulatory requirements and industry trends to ensure the compliance testing program adapts accordingly.
    • Work closely with legal and regulatory affairs teams to implement changes resulting from new laws, regulations, or industry guidance.

Qualifications:

  • Education:
    • Bachelor's degree in Business, Finance, Accounting, Law, or a related field. A Master's degree or relevant certifications (e.g., Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA)) are a plus.
  • Experience:
    • Minimum of 5 years of experience in compliance, risk management, internal audit, or a related field, with at least 3 years in a leadership or managerial role.
    • Strong background in financial services, including knowledge of banking regulations (e.g., Dodd-Frank, Bank Secrecy Act, Anti-Money Laundering (AML), and Consumer Financial Protection Bureau (CFPB) regulations).
    • Proven experience in designing, executing, and leading compliance testing and audits, preferably in a complex, multi-faceted financial institution.
  • Skills and Abilities:
    • Strong knowledge of financial regulations, compliance frameworks, and risk management principles.
    • Excellent analytical, problem-solving, and decision-making skills.
    • Exceptional communication and interpersonal skills, with the ability to influence and collaborate effectively with internal stakeholders at all levels.
    • Proven ability to manage multiple priorities and work under pressure to meet deadlines.
    • Strong leadership and team management skills, with a focus on coaching and developing talent.
    • High level of attention to detail, accuracy, and thoroughness.

Preferred Qualifications:

  • Experience working in a large financial institution or regulated environment.
  • Familiarity with regulatory technology (RegTech) and automation tools used in compliance testing.
  • Advanced certifications in compliance, risk management, or auditing.

We are an Equal Opportunity Employer. We do not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit, and business need.



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