Primary Responsibilities:

  • Leads all preparations for audits or exams; manages responses to external auditors and regulatory examiners; guarantees deficiencies identified from such audits and examination are corrected.
  • Consistently applies exceptional decision-making techniques pertaining to inquiries, approvals, and requests as they apply to existing policies and procedures, keeping within assigned approval limits and using these occasions as learning tools for employee development.
  • Reviews and approves marketing initiatives, campaigns, advertisements, and other internal and external published materials generated by the business lines and marketing to safeguard compliance with associated laws and regulations through marketing software.
  • Safeguard completed checklists are uploaded into marketing software.
  • Performs analysis of complaint data received, identifies potential risks, and ensures timely, appropriate responses are provided to complainant.
  • Ensures complaints with legal, regulatory, or discriminatory implications are escalated properly.
  • Writes and maintains relevant compliance policies and compliance department procedures.
  • Provides guidance to business partners regarding development of their procedures.
  • Reviews business unit procedures for gaps and assists with closing, if needed.
  • Partners closely with the Bank’s various departments in identifying, defining, and remediating various risk-related issues.
  • Maintains a Compliance Reference Library for the Bank; safeguard materials are current and accessible for use and reference by bank associates.
  • Makes recommendations to senior management and Bank personnel, on emerging compliance issues; consults and guides the bank in the formation of controls to mitigate risks.
  • Works closely with the Bank’s various divisions in identifying, defining, and remediating various risk-related issues.
  • Provides assistance to all areas of the department as directed or where service or assistance is needed.
  • Acts as a resource for regulatory matters and compliance related initiatives relating to deposit and lending regulations to branches, business units and management.
  • Disseminates compliance information to management and staff as needed.
  • Provides feedback to business units on the subject of their compliance activities.
  • Frequently collaborates with Bank’s internal business partners.
  • Monitor compliance; provide ongoing assessment of compliance risks.
  • Track compliance issues are adequately remedied in a timely manner.
  • Writes and maintains relevant compliance policies and compliance department procedures.
  • Monitor enterprise compliance training program for relevant laws and regulations.
  • Develops and delivers training presentations on compliance related topics.
  • Coordinates outside training presentations with Bank personnel, as needed.
  • Anticipates monitors and prepares for changes in laws and regulations impacting Bank compliance and communicates those changes to the compliance team and appropriate management.

Chief Compliance Officer

The Chief Compliance Officer is responsible for executing responsibilities pertinent to the Bank’s Compliance Management Program. Performs duties as the senior most compliance advisor and subject matter expert for compliance related projects and tasks; and participates in various committees, audits, and examinations. The Chief Compliance Officer is also responsible for developing and updating compliance related policies and procedures, establishing effective employee compliance training, and managing processes to ensure that the Banks compliance related risks are mitigated.



  • Minimum 8 years of Compliance Management experience at a financial institution necessary
  • Experience maintaining effective relationships with regulatory agencies required
  • Direct experience with regulatory compliance examinations needed
  • In-depth and current knowledge of consumer and commercial lending, deposit, and privacy regulations relevant to banks needed
  • Certified Regulatory Compliance Manager (CRCM) required
  • Experience with:
    • Reg. B – Equal Credit Opportunity Act, Reg. Z – Truth in Lending, FCRA – Fair Credit Reporting Act, FDPA – Flood Disaster Protection Act, Reg. DD – Truth in Savings Act, Reg. CC – Expedited Funds Availability Act and Reg. E – Electronic Funds Transfer Act


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