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Job

Compliance Testing Officer VP

  • Location

    Seattle

  • Sector:

    Financial Services and Banking

  • Salary:

    100,000 - 115,000

  • Contact:

    Christian Bohn

  • Contact email:

    c.bohn@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    about 2 months ago

  • Expiry date:

    2021-12-01

  • Startdate:

    ASAP

A banking partner of ours in Washington State is looking for a Testing/Monitoring Compliance Officer (VP) to join their growing team. Reporting directly to the CCO, this person is responsible for directing, managing, coordinating and performing, the compliance monitoring functions for the Bank, and to help identify and remediate regulatory compliance risk controls throughout the Bank.

 

As a Testing Compliance Officer, you will:

  • Plan, lead, direct, and execute the Bank’s Compliance Monitoring Program, which includes, but is not limited to: the maintenance and administration of the program, preparing the annual testing schedule, and developing testing procedures and tools.
  • Develop, implement, and maintain policies and procedures pertaining to compliance monitoring & engage and oversee third party monitoring partners.
  • Perform regulatory compliance testing to ensure the effectiveness of implemented compliance controls and recommend and evaluate remediation plans that occur as a part of the testing process.
  • Coordinate all testing and improvement planning with senior and executive management, and coordinate testing efforts with the line of business, Internal Audit and Risk Management within the Bank to share information and otherwise advance the established control processes designed to meet regulatory requirements.
  • Monitor changes in laws, regulations, and examination trends through external regulatory services. Ensures that regulatory changes are fully incorporated into the Compliance Monitoring program.
  • Assist in the preparation for compliance audits and regulatory exams.
  • Assist in the development of annual risk assessments for the Bank’s business lines and functional areas and create an appropriate compliance testing program, commensurate with the identified levels of risk.
  • Assist in the oversight and tracking of issues and remediation plans and escalate unresolved items to the Management Compliance Committee.

 

As the Testing Compliance Officer, you will need:

  • Associates or bachelor’s degree in business administration or related field or an equivalent combination of education and experience.
  • Knowledge of applicable compliance regulations
  • 5+ years’ recent experience, including in-depth working knowledge of all banking and compliance regulations, to include but is not limited to internal controls, risk analysis, SOX compliance, and process improvements
  • Professional credentials in compliance, risk and/or audit – highly desired.

 

If you are a skilled Testing Compliance Officer, you can apply by:

Selecting the “Apply” button below or by contacting me directly.

As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Banking Institutions across the West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

Christian Bohn, c.bohn@hamlynwilliams.com or (619) 350 – 6348

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