Featured Compliance Job 12/20/12: Lending Compliance Officer

Tumblr_lrkjrjw8dv1qgpotro1_500_largeThis role is an outstanding opportunity at a private bank. If you are a fit, please get in touch with Jack Kelly at jkelly@compliancesearch.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

About Beth Connolly

Beth Connolly is Head Editor, Writer, and Marketing Coordinator at the Compliance Exchange and the Wall Street Job Report. She tweets @Bethconnolly and shares her love of the good writing life at her blog, When Nutmeg Met Basil. A graduate of Middlebury College in Vermont, she works in Manhattan and calls Astoria home.

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