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Monitoring Compliance Officer

  • Location

    Fairfield, CA

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Remy Corbet

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 year ago

  • Expiry date:


  • Startdate:


A banking client of mine in Solano County is looking for a compliance officer to join their team reporting into the Head of Compliance at the bank. This role will assist with the implementation of the compliance monitoring program.

  • Provides technical support and guidance to business units affected by compliance laws and regulations
  • Keeps abreast of and analyzes new and pending laws and regulations
  • Researches regulatory law, recent or proposed changes, guidance and interpretations as part of the Compliance Review planning process.
  • Compliance Monitoring Activities
    • Compliance Reviews (monitoring and testing) to assess the effectiveness of the practices used to ensure legal and regulatory compliance.
    • Prepares Compliance Review that summarizes the scope of work performed, findings, and any regulatory exceptions.
  • Assists with reviewing marketing promotional materials for compliance with regulatory requirements
  • Compliance regulatory exams (assists with preparation and support)
  • Performs other duties as assigned
    • May participate in the development of Compliance standards, policies, and practices
    • Back up support to other compliance department functions


  • 4+ years experience as a compliance officer emphasis on lending (2nd line of defense)
  • CRCM Certification preferred
  • Strong working knowledge of consumer and commercial lending operations and related compliance laws and regulations (Federal and state)