Supervisory Responsibilities: Individual will supervise, train, and mentor compliance staff to create a best in class compliance function. Keeps Management informed of progress on yearly performance metrics and collaborates with management to set paths for growth and job satisfaction.
Summary: This position will supervise the Compliance team to ensure operational effectiveness, adequate oversight, and control of the bank’s compliance activities.
Essential Duties and Responsibilities:
- Assist the Compliance Officer with the design, creation, implementation, and consistent monitoring of bankwide CMS.
- Maintain knowledge of the bank’s operations and associates as well as creating and cultivating relationships.
- Maintain the requisite knowledge of laws and regulations to ensure that they are seen as a critical resource for regulatory expertise.
- Interpret regulations, make decisions, and provide recommendations and guidance to the team as well as to Department Heads.
- Supervise the annual or quarterly HMDA submissions.
- Assist other associates in the bank with requests or questions.
- Assist examiners during state and federal examinations which include but are not limited to: prepare documentation and electronic files, provide responses to inquiries from examiners after speaking with Department Heads, assist with technical issues and other as determined.
- Coordinate and track the completion of compliance reviews and compliance reports.
- Under the direction of the Compliance Officer, interact with Regulatory Owners specific to Regulatory Testing, which includes conversations, writing memos, and compiling memos for the Audit Committee.
- Supervise regulatory testing as required to ensure Fair Lending and HMDA compliance.
- Supervise compliance activities for marketing.
- Supervise the management and monitoring of customer complaints.
- Maintain confidentiality of sensitive information.
- As requested, in the absence of the Compliance Officer, participate as a member of the Enterprise Risk Management Committee to ensure that new products, services, or endeavors of the bank are in compliance with applicable laws and regulations.
- Follow the Essentials of Excellence and exhibit Centier’s Corporate Values.
- Strive to provide a World-Class Service experience in every interaction.
- Communicate emergency issues or professional liabilities to the Compliance Officer.
- Coordinate with the Compliance Officer to ensure that corrective actions are implemented in a timely fashion and are effective at preventing recurrence.
Knowledge, Skills, and Abilities:
- Proficient with Microsoft Word and Excel.
- Ability to work through problems by listening, thinking through all issues, and responding appropriately.
- Proofread and verify written materials.
- Ability to work well with others and in a team environment.
- Highly detail oriented, well-organized and able to work independently and consistently.
- 5 years of experience in Compliance specific to banking and at least a minimum of 1-2 years of supervisory experience.
- Bachelor’s degree or equivalent years of experience in related compliance management role.
- CRCM certification preferred.