Department:Risk Management

Reports to:  Chief Risk Officer

Summary:    Responsible for directing, developing and overseeing the Bank’s Compliance Program and monitoring the Bank’s performance with all applicable state and federal laws and regulations. Provides leadership while working effectively with business partners to drive a strong risk based compliance culture, while maintaining an independent compliance position. Responsible for the second line of defense function to ensure compliance with policies and procedures ensuring the safety and soundness of the bank.

Job Requirements:

  • Bachelor’s Degree required. Alternatively, years of compliance-related experience in lieu of degree will be considered.
  • Minimum of eight (8) years bank compliance management experience required
  • Experience should include working with regulatory agencies, including the Federal Reserve Bank (FRB), Federal Deposit Insurance Corporation (FDIC), and/or state Department of Financial Institutions.
  • Must have in-depth knowledge of regulations affecting a commercial bank, including lending such as Regulations B, C, G, O, V, X, Z and BB; deposit, such as Regulations CC, DD, and GG; and operational rules and regulations.
  • Must have the ability to review account information, as well as, question and investigate results from program reports.
  • Strong communication, collaboration, and technical compliance skills. Should be able to work effectively with others at all levels across the organization and provide leadership or assertive guidance to management and staff within the organization.
  • Critical thinking and the ability to “connect the dots” of multiple data points across multiple business units to develop a comprehensive assessment of compliance risk.
  • Must have strong Microsoft Word and Excel skills.


Specific Job Functions:

  • Provide consultation to the business units regarding the identification mitigation, resolution reporting/escalation of emerging and upstream regulatory risks and issues to ensure appropriate understanding of compliance risk and support the banks’ risk appetite which will ensure self-awareness is core to how the bank functions.
  • Serve as an independent advisor to the business unit management and risk management colleagues with the bank. Including advice and sign-off on new business initiatives, products and services, as well as process changes.
  • Escalate compliance issues to the Chief Risk Officer.
  • Work with the Chief Risk Officer to assist in coordinating regulatory examinations, advice on action plans designed to address regulatory findings and track timely remediation of regulatory issues associated with the Bank.
  • Research and analyze compliance trends and industry benchmarking to prepare for and monitor risks and issues. In coordination with the Chief Risk Officer, identify relevant regulatory updates to report out to the bank’s leadership team and Board of Directors, as applicable.
  • Maintain the bank’s Compliance Risk Assessment and use it to establish a monitoring plan.
  • Conduct monitoring reviews in accordance with the monitoring plan and report findings to the Chief Risk Officer and the Audit Committee of the Board of Directors, as applicable.
  • Responsible for being compliant with all regulations and compliance requirements pertaining to job function.
  • Carry out such other duties as may be assigned or requested.


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