This position is available for remote or onsite work options.
Job Title: Sr. Compliance Officer, Monitoring, Testing, and Audit
Summary:
Assist with the Chief Compliance Officer's duties primarily with the regulatory compliance program monitoring, testing and third-party oversight and monitoring. Manages audit and exam deliverables at the direction of the Chief Compliance Officer.
Wage Type: Salaried Exempt
Essential Duties & Responsibilities:
To perform this job successfully, an individual must be able to perform each of the essential duties satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
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Provide support in overseeing the quality and adequacy of the Bank's Compliance Management System and partnering with operational business units to promote adherence to compliance laws and regulations throughout the organization.
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Conducts continuous monitoring and testing for compliance with federal and state laws, regulations, and policies and procedures. Must work collaboratively and partner with business units to ensure issues and corrective actions are sufficiently resolved, timely.
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Assist with quality control reviews, monitoring, and overall compliance for third-party oversight, using industry standards and regulatory guidance.
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Monitor social channels, review marketing materials, apply complaint management procedures.
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Carries out responsibilities in a manner consistent with our values and operating principles, in accordance with policy and applicable laws, and with a commitment to commitment to continuous improvement and process excellence.
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Assembles and maintains accurate and complete monitoring reports, audit reports, and evidence of corrective actions for process improvements.
- Works with internal and external stakeholders to address remediations timely.
- Any other duties as assigned.
Organizational Structure:
Reports to: Chief Compliance Officer
Qualifications:
Education:
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Bachelor's Degree in Business or Related Field.
Required Knowledge/Skills:
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Regulatory Knowledge
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Compliance Monitoring
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Documentation and Reporting
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Risk Management
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Policy Development
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Training and Education
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Investigation and Resolution
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Ethical Conduct
Desired Knowledge:
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5+ years of experience in a financial institution required.
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5+ years of experience in banking compliance preferred.
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Experience with deposit operations/compliance and/or lending compliance.
- Experience with conducting compliance reviews and/or audits.
- CRCM and/or CAMS preferred.
Talents:
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Strong positivity.
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Mission driven, competitive, goal oriented, and motivated to develop themselves and others.
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Energetic, resourceful, and appropriate work intensity to get the work done.
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Strong people acumen and relationship skills; Naturally pre-disposed to quickly establish positive personal and professional relationships.
TransPecos Banks will not accept unsolicited resumes from any source other than the candidate. We will consider any candidate for whom an Agency submits an unsolicited resume, to have been referred to us by the Agency free of any charges or fees, other than those agencies we engage on a specific search. TransPecos Banks will not pay a fee for any placement resulting from the receipt of an unsolicited resume.