Compliance Officer
Our Organization is a premier national聽bank operating in California that provides personalized service and a full array of quality products to individuals, businesses, organizations and agricultural clients. With more than 100 retail branches, we serve the needs of customers from Red Bluff to the Imperial Valley through a network of branches and financial service centers that promotes local decision making and active community involvement by our employees. The bank has $15 billion in assets with more than 1600 employees.
We are part of a group, which is rated one of the world鈥檚 safest banks by Global Finance Magazine. Our company is a global financial service provider and the premier lender to the global food and agricultural industry.
Your Function:
We have an exciting opportunity for a Compliance Officer located in Roseville! The Compliance Officer will be responsible for the implementation, oversight and ongoing support of the Bank鈥檚 Compliance Program for all subject matters under the purview of the Corporate Compliance Division (excluding BSA). The Compliance Officer function within Compliance Policy & Support includes performing risk assessments, maintaining policy and procedures, assisting in the implementation of corrective actions, and providing staff training/guidance, as appropriate. Individual will provide ongoing support to all Bank departments, business units and functions
Responsibilities will include and are not limited to the following:
鈥evelops and implements a risk-based Compliance approach for assigned area of expertise.
鈥esponsible for ongoing oversight of area of expertise to ensure the overall compliance program is fully implemented, comprehensive, and meets regulatory expectations.
鈥esearches and responds to questions, relative to area of expertise, from Bank staff/business units.
鈥erforms an annual risk assessment for product & services within assigned areas of expertise.
鈥esearches, recommends, and implements changes to policy, procedure, forms, disclosures, and documents as needed.
鈥orks with the business unit in the implementation of regulatory reform/rule change initiatives impacting the wealth/treasury management business
鈥orks with business risk and business/product management to establish and maintain a solid compliance control and risk assessment framework
鈥eview new products, marketing materials and other forms of communications for regulatory compliance and adherence to Bank standards
鈥dentify/investigate activity that can be indicative of compliance problems and communicate/escalate as necessary, including recommending practical solutions to compliance
鈥ork closely with other control groups such as legal, risk management, and audit and business supervisory functions to ensure coverage is comprehensive and consistent and that issues are appropriately addressed on a timely basis
鈥orks with the Compliance Testing and Assurance team and Internal Audit to identify emerging risk areas and recommending ad hoc testing as necessary
鈥ssist with the content, implementation and delivery of compliance training related to area of expertise.
鈥egularly reviews applicable state/federal laws and regulatory compliance issues through reading and researching applicable publications, news service articles, the Bank鈥檚 resource library, and external training.
鈥hen requested, drafts written reports to communicate with various audiences including, but not limited to, Branch Managers, Senior Managers, and Audit.
鈥s necessary, leads project teams to implement required corrective action or resolve deviations from established procedures or to implement new procedures.
鈥aintains a cohesive and collaborative environment, sharing ideas and assisting peers. The result of which will be a high performance, goal oriented, team environment.
鈥xercises sound judgment and ensures the integrity of confidential information.
鈥eals with change and handles stressful situations with a professional demeanor.
鈥eeps senior and executive management fully informed of negative monitoring findings and/or trends or systemic issues identified through monitoring and support functions.
鈥erforms all other job duties as assigned by Supervisor.
Your Profile:
Successful candidates will possess the following:
鈥achelor鈥檚 degree with minimum of 3 years related experience or an equivalent combination of education and experience OR Bachelor鈥檚 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.
鈥ndustry Certification in compliance (CRCM, CFTA, CCTS or CSOP) preferred.
2+ to 5 years experience
SKILLS AND CERTIFICATIONS
consumer lending regulations
Financial Services Experience
Retail Banking
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