Overview

Company Overview

Our Client, a well-regarded Consumer and Commercial Banking Institution is looking for a VP Compliance Officer.

VP – Compliance Officer

Reporting to the CEO, the Compliance Officer will be responsible for establishing and maintaining the Bank’s compliance program.  In addition, the Compliance Officer will provide strategic advice on our regulatory and compliance environment and technical guidance on specific compliance matters.

 

DUTIES AND RESPONSIBLILTIES:

  • Manages the design and implementation of the Bank’s compliance program, including policies, procedures, systems monitoring, technology-based controls, and training, as well as compliance monitoring and testing; periodically reviews the effectiveness of the program in light of business, industry, regulatory, market, and other developments.
  • Assesses and monitors the compliance risks associated with the Bank’s business activities, operations, and products and services.
  • Manages the firm’s relationship with regulatory agencies, including managing exams, remediation of regulatory findings, and communication with regulators.
  • Develops and maintains an enterprise risk management program appropriate to the size and scope of the firm.
  • Implements and leads robust compliance training for employees and members of the Board.

 

  • Serves as primary point of contact for financial regulators and manages the firm’s responses to regulatory inquiries and preparation for examinations.
  • On a regular basis, reports to the Board of Directors on compliance matters, including actual or potential compliance program violations.

 

QUALIFICATIONS:

  • Minimum of eight years of progressive experience in banking compliance or regulatory roles.
  • Minimum of six years of experience dealing directly with banking regulators, preferably the Office of the Comptroller of the Currency.
  • Strong analytical skills required to organize and analyze multiple, complex data.
  • Strong interpersonal, communication and creative thinking skills.
  • Prior management experience.
  • Familiarity with compliance monitoring and testing systems.
  • CRCM, CAMS, or similar certification preferred.
  • Bachelor’s degree required; advanced degree preferred/JD highly desirable

Please send resumes to Heather Johnson at Heather@compliancesearch.com

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