Compliance Officer; Deposits

Compliance Officer (Deposits)

Lakewood, CA, US

Senior Level

Salary: $120,000 - $180,000 per year

• Plans, manages, and executes the Bank's compliance management program that aligns to the Bank's second line risk management standards such as but not limited to:
• Monitoring and managing compliance topics and issues for the business units
• Developing, implementing, and executing a comprehensive compliance monitoring and testing program, including written reports and communication results to senior management
• Conducting marketing and disclosure reviews with the business units
• Ongoing governance and oversight of covered business areas, and works closely with the business units to ensure full compliance with regulatory requirements
• Assessing, developing and providing compliance training on relevant topics
• Identifying training requirements needed for business units
• Participating in new or changes to products and services and/or laws and regulations
• Policy and procedure management
• Researching any regulatory/non-regulatory complaints to identify systemic trends and root cause
• Supports the evolution and enhancement of the compliance program for the business areas for which s/he is responsible, and lends support in other areas as instructed by the Chief Compliance Officer.
• Conducts reviews and effective challenge for the first line business units for risk and control self-assessment (RCSA), policies, procedures and other aspects of the compliance program
• Analyzes and compiles data into meaningful reports for the Chief Compliance Officer while adhering to critical deadlines.

• Bachelor's Degree or equivalent work experience required
• Working experience in a regional banking organization is required.
• 10+ years of compliance experience
• Industry accreditation is preferred, e.g., CRCM
• Strong working knowledge of banking and financial aspects of lending, operational and deposit compliance requirements
• Extensive knowledge of state and federal banking laws and regulations
• The ability to work independently, lead and manage a project team, and deal effectively with peers and superiors is essential, as are strong written and oral communications skills.

Compliance Officer with regional banking experience need for well-established California bank that has been in operation for over 100 years

• Leverage the latest Network technologies
• Strong benefits (M,D,V, and 401k)
• Profit sharing contribution
• Flexible work environment
• Extra paycheck at Christmas

#accounting-finance #compliance #fincen #fcpa #regional-banking-organization #regulation-o #regulation-w #regulation-h #regulation-y #bribery-act #tier4