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

Requirements

• 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)