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Compliance Specialist

TIB, N. A.

Farmers Branch, Texas

July 23, 2021

 

Contact Information

Jennifer Becherer
hr@tib.bank
www.tib.bank
972-444-3540

Conduct compliance risk assessment, audit, and/or related activities for our in-area, financial institution clients, as well as occasional support of out-of-area customers, by assessing their conformity with federal consumer compliance regulations.

 

TIB, N.A. is an equal opportunity employer and does not discriminate against an individual based on the individual’s race, color, age, religion, sex, sexual orientation, gender (including pregnancy), gender identity, national origin, disability, genetics, citizenship status, veteran status or any other protected characteristic or activity.

• Support preparation of client engagement request letters, organization of provided material, set up of intended work programs and worksheets, research client bank policies, procedures and other demographics
• Daily client service to include compliance review and audit testing, risk analyses, and related activities for our area financial institution clients
• Present conclusions and findings to the Engagement Leader in detailed, concise reports and provide well-defined solution or recommendations for noted violations and/or deficiencies
• Provide support to both customers and TIB officers, regarding regulatory guidelines, by staying abreast of regulatory publications and analyzing regulatory examination reports
• Specific client engagements will include, but not limited to, transaction testing, interviewing, observation, writing timely and accurate draft report segments, and responding to client questions regarding our service and other regulatory concerns
• Fostering positive relationships with clients through professional client interactions
• Provide on-site and/or remote support to clients located in various locations

• Bachelor’s degree required, preferably in Finance or Accounting
• 2 years of financial and banking experience preferred
• Overnight travel, up to 40% of the time, required
• Obtain and/or retain CCBCO and BSAP professional certifications
• Previous audit, examination, and oversight experience is a plus
• Basic knowledge of the banking system and general processes expected
• Specific knowledge of federal compliance regulations and the Bank Secrecy Act
• Excellent PC skills, including Microsoft office products (Word, Excel, and Outlook)
• Individual should possess good interpersonal skills and be able to work within and foster a team environment
• Ability to communicate effectively, both verbally and in writing, and across all levels

Fair Lending Manager, VP

Texas Capital Bank

Richardson, Texas

June 1, 2021

 

Contact Information

Tasha Stafford
tasha.stafford@texascapitalbank.com
https://careers-texascapitalbank.icims.com
972-656-6500

The Fair Lending Compliance Advisor reports to the Fair and Responsible Banking Officer and is responsible for leading the development and deployment of a robust and sustainable Fair Lending Compliance Program in alignment with the Bank’s Compliance Management System and the Enterprise Risk Management Framework.

– Promote a culture of fair lending throughout the Bank.
– Serves as lead Fair Lending Advisor for the development, implementation, and maintenance of Fair Lending Program elements.
– Participates as a key stakeholder and subject matter expert (SME) on Fair Lending Laws/Regulations (ECOA, FHA, FCRA, HMDA) during Fair Lending compliance tests, internal audits and regulatory examinations
– Reviews existing Fair Lending compliance controls for regulatory updates and performs the necessary gap analysis.
– Leads the development and execution of the Annual Fair Lending Risk Assessment and assists with the execution of the Annual Compliance Risk Assessment
– Maintains Fair Lending Program and Fair Lending Policy documents and enhances where necessary.
– Works with senior and/or executive level internal and external stakeholders to resolve fair lending issues and gain consensus on resolution.
– Provides timely oversight and feedback for lending related initiatives, such as new and changing products and services, enhanced capabilities, new product delivery channels, marketing, etc.
– Reviews and responds effectively to feedback received from associates, management, compliance testing, internal audits and regulatory examinations.
– Member of Fair and Responsible Banking Oversight Committee
– Build strong partnerships across the organization and provide advice on Fair Lending related matters.
– Prepare reports for management and Board committees.
– Stay current on the regulatory environment and expectations through discussions with peers, seminars, webinars, roundtables, bankers’ associations, etc.

– Bachelor’s degree in Finance, Accounting or Business preferred; or equivalent years of experience (Required)
– Certified Regulatory Compliance Manager Certification (CRCM) (Preferred)
– 5+ years of experience in a financial institution (Required)
– 2+ years of managerial experience in a financial institution setting (Required)
– 3+ years of experience in ECOA, FHA, FCRA, HMDA and UDAAP (Required)
– 3+ Experience in conducting fair lending self-evaluations and/or comparative file reviews (Required)
– Experience working with federal regulatory agencies during the exam process including the OCC, Federal Reserve, FDIC and/or CFPB (Preferred)
– Knowledge of consumer protection laws and regulations impacting financial institutions (Required)
– Knowledge/Experience with CRA/HMDA reporting and analysis system platforms (Required)
– Knowledge of Fair and Responsible Banking Marketing Risks (Preferred)

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