Senior Compliance Officer, Advisory (SENIO012006)

Essential Duties and Responsibilities

• Remain current with the changes to state and federal banking laws and regulations affecting the management, operations, and product offerings of the bank.
• Cook with operating departments to ensure adherence to laws and regulations relating to new or revised products and services offerings of the bank.
• Make recommendations concerning compliance training through coordination and supporting the banks training department related to various compliance reviews.
• Provide senior management with information to accurately determine the banks extent of compliance.
• Maintain confidentiality on all Audit and Risk Committee files, records, work papers, minutes, etc.
• Schedule meetings with the operating units and managers to provide information on compliance changes that affect their respective areas.
• Obtain continuing education related to job duties.
• Develop and manage strong working relationships with business units and Advisory staff.
• Aid with Compliance Risk Assessments of business units and programs.
• Provide expert regulatory advice, challenge, and oversight on compliance matters to business units.
• Aid with Third Party Vendor Risk Assessments on compliance-related items.
• Communicate a comprehensive view of regulatory risk to lines of businesses.
• Participate in the planning and due diligence phases of the Companys various acquisition projects.
• Serve as advisor to Compliance Officer I and Compliance Officer II advisory employees.
• Provide business units with periodic updates of Bank policies and procedures.
• Prepare reports to management on training, regulatory change, and other ongoing compliance-related activities in the department.
• Complete required BSA/AML training and other compliance training as assigned.

Qualifications

• To perform this job successfully, an individual must be able to perform each essential duty mentioned satisfactorily.
• The requirements listed below are representative of the knowledge, skill, and/or ability required.

Education and Experience

• Broad knowledge of such fields as accounting, marketing, business administration, finance, e c.
• Equivalent to a four-year college degree, plus 7 years related experience and/or training, and 3 years related management experience, or equivalent combination of education and experience.

Communication Skills

• Ability to read, analyze, and understand general business/company related articles and professional journals.
• Ability to speak effectively before groups of customers or employees.
• Ability to write reports, business correspondence, and policy/procedure manuals.
• Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public.

Mental and Physical Requirements

• Ability to define problems, collect data, establish facts, and draw valid conclusions.
• Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.
• The ability to work in a constant state of alertness and in a safe manner.