Crucial Duties and Tasks

  1. Partners diligently with the Chief Executive Officer to build strategic plans, evaluates reports and coordinates plans and produces recommendations for all compliance schemes including operational modifications within the Bank and budgets.
  2. Creates, implements, and manages all aspects of the Bank’s Compliance Management Program – executes duties as the Bank’s Compliance Committee chairperson and contributes to numerous committees, audits, and examinations.
  3. Pinpoints and mitigates probable compliance risk concerns against the Bank; interacts with Bank personnel pertaining to such issues.
  4. Plays a constructive role in the advancement and growth of assigned division staff through exceptional communication skills, both verbal and written, along with robust delegation skills guaranteeing a highly cross-trained staff.
  5. Accepts responsibility for specific projects, collects data and prepares reports for senior management, audits, and other staff.
  6. Proactively mitigates threats.
  7. Nurtures an efficient risk management and compliance philosophy through the Bank. Partners with senior management to discover risks to build procedures to control and mitigate risks.
  8. Consistently utilizes superior decision-making techniques relating to questions, approvals, and requests as they apply to current policies and procedures, maintaining within assigned approval limits and using these occasions as learning tools for staff development.
  9. Guarantees compliance department events run effectively by delivering leadership, training, and supervision.
  10. Organizes risk assessments and reviews and writes compliance associated policies and procedures.
  11. Nurtures a professional and helpful relationship with internal and external examiners.
  12. Presents recommendations to the Board of Directors, senior management and Bank staff about compliance linked matters including emerging compliance issues. Consults and directs the Bank in the creation of controls to mitigate risks and submits monthly reports to the Board of Directors describing compliance issues.
  13. The position of Chief Compliance Officer completes immediate management duties of appointed department staff, directs staff for designated areas of the department and is necessary to be completely informed and skilled in all sections of the department.
  14. Administers and collaborates closely with the Bank Secrecy Act/OFAC Officer, Community Reinvestment Act Officer, Privacy Officer, Bank Security and Safety Officer and additional division managers in developing short and long-term compliance tactics and agendas for the Bank and conducts regular meetings with management associates.
  15. Examines legislative and regulatory developments so that suitable compliance systems are accessible to meet latest or amended requirements. Retains a competent and expert knowledge of all applicable banking laws, rules, and regulations.
  16. Operates/interacts daily with senior/executive leadership and numerous departments in recognizing, classifying, and remediating numerous risk-related matters in achieving recognized compliance goals as instructed by the Board of Directors and management.
  17. Oversees all compliance activities of the administrative, lending, payment processing and operational functions of the Bank.
  18. Supervises activities of all-inclusive self-testing as well as independent third party and regulatory audits.
  19. Executes and maintains an effective method for managing consumer complaints.
  20. Completes required preparations for such audits or exams; coordinates responses to external auditors and regulatory examiners and safeguards deficiencies identified from such audits and examinations are remedied.
  21. Directs, monitors, and reviews the performance of personnel and provides the needed coordination between activities.
  22. Provides overall strategic compliance leadership and guidance for the Bank.

Chief Compliance Officer

The Chief Compliance Officer is accountable for creating, implementing, and administering all facets of the client Bank’s Compliance Management Program. This position designs, organizes, and controls the Bank’s day to day organizational, lending, payment processing and operational compliance events, and works in partnership with senior and executive leadership in the overall administration of these directives for the Bank.


Qualifications and Requirements

  1. Outstanding organizational and time management skills with the capacity to deliver leadership, supervision, and training for using constructive supervisory techniques to safeguard maximum productivity.
  2. Bachelor’s degree required with Masters preferred.
  3. Enhanced computer skills.
  4. A minimum of 12 years related experience comprising of an in-depth background in compliance, bank administration, risk management, and auditing.
  5. Outstanding verbal, written and interpersonal communication skills, with the capacity to utilize common sense to execute all corporate initiatives.
  6. A deep understanding of management procedures with an aptitude to plot activities, an inventiveness to organize numerous functions essential to achieve division activities; effectively staff (choosing, training, and developing personnel).
  7. Demonstrated talent in organization and delegation skills.
  8. Sophisticated expertise with lending and operations products and services, bank administration, related state and federal laws/regulations, and other operational policies and procedures.
  9. Capacity to deal with intricate problems encompassing multiple facets and variables.
  10. Specialized accreditation:
    1. Certified Regulatory Compliance Manager (CRCM)
    2. Certified Anti-Money Laundering Specialist (CAMS)
    3. Certified Internal Auditor (CIA)
    4. Certified Risk Professional (CRP)
  11. Experiencing performing personnel actions comprised of performance appraisals, disciplinary actions, and interviewing candidates for employment.
  12. Verifiable track record of supervising the daily activities of the department including, but not limited to, effectual delegation of responsibilities, building work schedules and providing essential training.


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