Consultant Christian Lewis
Date posted March 13, 20192019-03-13 2019-04-16 financial-services permanent US Santa Monica California 93454 USD 59300 66800 66800 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
A leading regional bank is currently in search of a Compliance Officer to lead the coporate compliance vertical providing advisory support to the buisness, implement/revamp policies and procedures, performing risk assessments, and provide staff training
- Assists with compliance monitoring and issues reports as appropriate (e.g. At-A-Glance Control Summaries, quality assurance testing, products and services, and laws, rules, and regulations, enforcement actions, industry guidance, etc.).
- Stays current on all consumer protection laws, rules, and regulations (as documented in the Risk Assessment Program); including, regulatory expectations, industry best practices, and risk-based principles.
- Maintains working knowledge of Bank processes and procedures. Must be comfortable discussing key risk areas and internal controls designed to mitigates risks with various audiences.
- Performs/assists with annual risk assessments (e.g. Consumer Protection, Fair Lending, and other risk assessments), as assigned.
- Works with the business units in the implementation of regulatory reform/rule change initiatives.
- Review new products, marketing materials and other forms of communications for regulatory compliance and adherence to Bank standards.
- Keeps senior and executive management fully informed of negative monitoring findings and/or trends or systemic issues identified through monitoring and support functions.
- Bachelor's degree with minimum of 3 years related experience or an equivalent combination of education and experience Or
- Bachelor's degree with minimum of 2 years working for a banking regulator (such as the OCC, FDIC, Federal Reserve, etc) or equivalent combination of education and experience.
- Industry Certification in compliance (CRCM, CFTA, CCTS or CSOP) preferred, with requirement of completion within 2 years if not currently certified.