Compliance Officer III, ASG

Compliance Officer III, ASG
San Francisco California

Exp 7-10 years
Degree Bachelors
Bonus
Occasional Travel

THE POSITION

This position is within the Administrative Services Group Compliance Function and is responsible for taking a lead role in ensuring that the assigned Business Lines policies and procedures align with corporate compliance. Leads the execution and coordination of the compliance function at the Business Line level. Reviews and interprets new and pending laws and regulations, which potentially affects the business practices for the assigned group.


Position Accountabilities
• Helps develop and recommend policies, procedures and programs to ensure compliance with existing regulations and best practices.

• Implements compliance program initiatives in the assigned business line(s).

• Analyzes new and pending laws and regulations which directly affect the
Business Lines practices; develops or revises appropriate policies, procedures, contracts and agreements to ensure compliance.

• Works with the areas of the Business Lines affected by changing laws, regulations, or policies to ensure that appropriate changes are implemented.

• Acts as compliance representative in projects involving new or changes to existing regulatory impacted materials

• Assists compliance manager on matters involving litigation, which may affect the Business Lines compliance with laws and regulations.

• Liaise with Group and/or Division Compliance and Corporate Compliance

• Monitors major and critical compliance risks issues

• Oversees the implementation of training programs


• Disseminates all Compliance information and requirements

• Performs other duties as assigned.

• High School Diploma or GED Required

• Bachelor’s Degree in Business Administration or related field Required
• A minimum of 7-10 years of functional/professional experience combined Compliance/Audit/Risk Management experience
• Compliance experience supporting HR or IT areas would be highly regarded
• Knowledge of some of the regulations related to the Admin Services Group Functions would be highly regarded. Candidate must have the capability and appetite to learn about the regulations for the groups they will support.
• The successful candidate need not be experienced in all these areas but exposure to any of these regulations would be highly regarded. Such laws and regulations would include: Federal Financial Institution Examination Council guidance on information security standards, BSA/AML, Privacy, OFAC, Payment Card Industry Standards, National Automated Clearinghouse Association Rules, Fair Labor Standards Act, US Department of Labor Regulations, and Americans with Disabilities Act.
This position is in our Admin Services Group (ASG). We are looking for someone higher level who has experience reviewing overall compliance programs, making recommendations to senior leaders, etc. Compliance experience supporting HR or IT highly regarded; experience and knowledge of regulations required.