This role is an outstanding opportunity at a private bank. If you are a fit, please get in touch with Jack Kelly at email@example.com. Feel free to pass the link along to someone else, as well.
Top-tier private bank seeks a Senior Compliance Officer to cover all aspects of mortgage lending, consumer lending, investment finance & lending, Fair Lending and other Bank and lending related activities.
The ideal candidate will work with Senior business management to effectively implement new regulations and guidance’s; assist business/product management in adhering to relevant policies, procedures and control requirements.
• Advising and consulting business/product management on relevant laws, regulations, policies and procedures, including the implementation of new regulatory requirements and standards.
• Optimizing the compliance control environment by assisting management in re-evaluating end-to-end compliance control processes, expanding the use of automated tools, designing Key Risk Indicators and enhancing the MIS/metrics used by senior compliance and business management to effectively monitor ongoing activities.
• Working with in-business risk and business/product management to establish and maintain a solid compliance risk control and self-assessment framework.
• Reviewing business product programs, marketing materials and other forms of communications for regulatory compliance and adherence to the company’s standards.
• Identifying/investigating unusual trends or activity that can be indicative of compliance problems and communicate/escalate as necessary, including recommending practical solutions to compliance issues.
• Working closely with other control groups such as legal, risk management, and audit to ensure coverage is comprehensive and consistent to ensure that issues are appropriately addressed on a timely basis.
• Working with the Compliance Testing unit to identify emerging risk areas and recommending adhoc testing as necessary.
• Assisting with the content, implementation and delivery of compliance training.
• 10+ years of experience in a compliance specialist/control role. Compliance, legal and/or regulatory background preferred.
• Bachelors degree or higher in related field of study; CRCM certification desirable.
• Strong knowledge of consumer lending compliance, laws and regulations. Mortgage experience preferred.
• Working knowledge of private banking/wealth management products and services helpful.
• Strong risk assessment, analytical, decision making, interpersonal, presentation, and written/verbal communication skills.
• Able to work effectively with senior business management and staff, and with a matrixed organization of Compliance colleagues.
• Goal oriented team player who treats others with dignity and respect.
• Able to engage others in open, honest dialogue and directly addresses conflict when it arises.
To apply please submit your resume to Jack Kelly – Jkelly@compliancesearch.com