GENERAL FUNCTION: Assists Chief Compliance
Officer in advocating and facilitating the development,
implementation, communication, and maintenance of corporate-wide
Compliance Risk Management (CRM). Responsible for assisting with
all facets of the Line of Business compliance program to ensure
full compliance with state and federal laws, rules, and regulations
(i.e. B, C, D, E, Q, DD, CC, M, U, X, Y, Z, HOEPA, and Predatory
Lending). Actively engaged and readily available to work with
Executive Line of Business Division Head toaddress compliance
matters. Manages Compliance Quality Control Staff.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
.Responsible for developing, strengthening, and implementing the
Line of Business compliance program in compliance with existing
laws and regulations, including governance, policies and
procedures, monitoring, reporting, communications, and
.Initiates and facilitates collaborative alliances with Line of
Business Risk Manager, Affiliate management, and corporate partners
to ensure Line of Business compliance program is adequately
.Assists in the development of strategic CRM goals and tactical and
strategic planning systems.
.Communicates significant issues to senior
.Serves on various task forces or discussion groups to address
compliance related issues.
.Oversees evaluations of Line of Business compliance processes and
procedure effectiveness across Affiliates.
.Identifies opportunities, establishes action plans, and drives
solutions to continuously improve compliance program, and increase
.Liaisons with regulators as appropriate.
.Provides leadership, coaching, and assessment to ensure optimum
team and individual performance in support of department, division,
and Bancorp goals.
.Builds industry relations through industry
.Maintains a cutting edge awareness of division goals, regulatory
and legislative developments, and industry trends.
.Assumes additional responsibilities and leads special projects as
.Analyzes data by numerous delivery channels, geographic area,
product types, facility, and even employee or officer to identify
risks and develop and recommend scope or target for the review,
strategies for closing gaps in performance.
.Assess the adequacy of the business units''/affiliate''s
recommended corrective action to the issues or gaps
.Develops and reports findings to Senior Management regarding their
business lines (Legal, Audit, and Senior level Operating
.Works with Sr. Leadership to set strategic direction for
department and executes on those goals and
.Participates and/or leads regular meetings with peers to build and
maintain knowledge of current and emerging issues and risk in the
SUPERVISORY RESPONSIBILITIES: Manages staffing to ensure optimal
performance in meeting the Risk Management Division''s goals and
the objectives of contributing to the Bancorp continued success in
the Financial ServicesIndustry.Assistsintherecruitingprocess;
conducts interviews and provides candid, timely feedback. Ensures
proper orientation “ formal and informal" for assigned employees.
Identifies challenging work assignments, mentoring and education
programs to give employees exposure to proactive problem
solving throughout the company. Develops and maintains ongoing
two-way timely and clear performance feedback to maintain healthy,
proactive work relationships. Encourages open dialogue that
promotes creativeandoutof theboxproblemsolving skills. Researches
and supports participation in leadership and skills based training
for all staff levels. Aggressively prepares all levelsof staff for
MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:
.Education: Bachelor''s degree or equivalent work experience
required. Computer/Technical: Demonstrates working or functional
proficiency sufficient to apply the use of software applications
Suite)withoutassistanceandminimalsupervision..Able to understand
and conceptualize basic statistical analysis and theories. With
solid experience in manipulating (validating, correcting,
reformatting, and transforming) data into more than one format,