10 months ago
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)