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Regulatory Compliance Senior or Manager

Weaver

Dallas, Texas
October 8, 2019

 

Contact Information

Kassie Ross
kassie.ross@weaver.com
www.weaver.com
817-882-7343

About Weaver
Weaver has built a nationwide presence on an unwavering commitment to its clients’ success, acting with integrity and always striving to transcend expectations. The firm has grown to be the 35th largest firm in the United States, according to INSIDE Public Accounting; it is also ranked the largest independent accounting firm based in the Southwest by Accounting Today magazine.

 

From Fortune 500 multinational companies to start-ups, Weaver is a national firm serving commercial, financial services and government clients. The firm is particularly well known in financial services, energy, manufacturing and distribution, construction, technology, real estate, health care and government. Weaver services go beyond traditional assurance and tax services to include risk advisory, transaction advisory, IT advisory, energy compliance and consulting, forensics and litigation services, and specialty tax services such as international tax, state and local tax and private client services. Learn more at www.weaver.com.

 

Position Summary: Weaver is seeking energetic professional with skills and growing proficiency in financial institutions regulatory compliance. Experience in other aspects of internal audit and/or a strong desire to learn is preferred. You will work with a high performing and dynamic team that helps clients meet their regulatory and risk management objectives. The position requires being able to communicate with C-level executives and help train other team members. The preferred candidate has a CRCM, CAMS, CAFP and/or other compliance designation along with the ability to supervise teams of 2 – 6 on multiple concurrent engagements.

Plan, perform, and deliver work with limited supervision. This includes developing/executing audit programs, developing budgets and communicating results in written and verbal form.
Monitor and supervise progress of other team members in executing the various phases of an engagement.
Review the work executed by other staff for completeness and accuracy.
Responsible for ensuring that deliverables and workpapers produced by team members are clear and concise, and comply with firm standards.
Delegate tasks to help develop others and execute efficiently.
Assist and mentor Associates and Senior Associates with less experience while actively cultivating an environment that challenges, encourages, and fosters professional development and learning.
Provide periodic performance feedback to team members as needed.
Assist with scheduling engagement resources.
Keep supervisors apprised of engagement and scheduling issues.
Develop and enhance client relationships at appropriate levels through strong communication and project management skills. Learn billing responsibilities and other skills of engagement management.
Adhere to the Firm’s policies, procedures and core values.

Education: Bachelors and/or Master’s Degree coupled with related financial institutions experience.

 

Skills:
Experience with TRID, Regulation B, HMDA, Regulation X, FCRA, Regulation Z, Bank Secrecy Act (BSA) – AML, OFAC and/or Fair Lending preferred.
Proficient at Microsoft Excel, Word, Outlook.
Excellent written and verbal communications skills.
Team orientation and strong interpersonal skills.
Strong project management skills.
Demonstrate independent thinking and strong decision making skills.
Sufficient technical skills to perform the essential duties and responsibilities of this position.
Regulatory specialty certifications – CRCM, CAMS, CAFP, CCBCO or other specialist certifications desirable.
3 – 4 + years or more of examination, industry, consulting or a combination of equivalent experience to successfully fulfill the position’s responsibilities.
Advanced understanding of bank/non-bank financial institution operations helpful.

 

Weaver is an Equal Opportunity Employer

BSA/AML Compliance Analyst

Texas Security Bank

Dallas, Texas
September 4, 2019

 

Contact Information

Melanie Smith, CRCM
melanie.smith@texassecuritybank.com
469-398-4834

The BSA/AML Compliance Analyst is responsible for managing and coordinating BSA/AML/OFAC compliance functions at Texas Security Bank with oversight from the BSA Officer. The BSA/AML Compliance Analyst will also have the opportunity to assist the Compliance Officer with additional regulatory compliance-related duties outside the scope of BSA/AML/OFAC.

 

The individual in this position must be a strong self-learner, have the desire to gain experience in other areas of compliance management and regulatory compliance, and have the ability to work independently.

• Maintain a current knowledge of the Bank Secrecy Act and all related anti-money laundering and OFAC regulations.
• Act as a BSA, AML and OFAC subject matter expert to identify process improvements and respond to inquiries from internal business partners.
• Utilize manual reports, the Bank’s automated AML monitoring system, and process knowledge to detect and investigate red flags for money laundering and terrorist finance activity.
• Administer the Bank’s automated AML monitoring system by managing alerts, conducting investigations, and either resolving/clearing alerts or escalating to the BSA Officer for Suspicious Activity Report (SAR) filing.
• Gather documentation for SARs, draft SARs, and file SARs after obtaining BSA Officer approval.
• Conduct quarterly validation testing of the Bank’s automated AML monitoring system’s alerts.
• Assist in the development, coordination, and facilitation of BSA/AML/OFAC training programs.
• Conduct 314(a) and 314(b) (PATRIOT Act) searches.
• Review New Accounts and New Customers and recommend BSA/AML risk-ratings.
• Perform enhanced due diligence reviews for moderate-risk and high-risk customers.
• Oversee filing of Currency Transaction Reports (CTRs) and ensure CTRs are filed within required timeframes.
• Oversee the Monetary Instrument Log.
• Assist with annual BSA/AML/OFAC Risk Assessments and make recommendations for risk assessment enhancement.
• Assist with the build-out and documentation of the Bank’s BSA/AML/OFAC program.
• Prepare monthly BSA reports.
• Review BSA/AML/OFAC policies and procedures and make recommendations for improvement.
• Assist business lines with BSA/AML/OFAC procedure development and documentation.
• Assist the BSA Officer with preparing for and managing BSA/AML/OFAC audits.
• Perform other duties as assigned, including monitoring other areas of compliance with the oversight and assistance from the Compliance Officer.

Position Qualifications:
• CAMS or CAFP certification preferred
• 4-year college degree required
• Understanding of general banking functions and compliance regulations
• Ability to proactively identify and assess potential risks
• Ability to resolve issues, work independently, and meet deadlines
• Superior verbal, written, and interpersonal communication skills with the ability to instruct others, train personnel, write executive-level reports, correspondence and procedures, and communicate with staff at all levels
• Excellent organizational and time management skills
• Ability to research, comprehend, analyze, and apply bank regulations
• Ambition to pro-actively learn other areas of regulatory compliance and assist the Compliance Officer with compliance-related duties outside the scope of BSA/AML/OFAC compliance
• Desire to pursue CRCM certification strongly preferred

 

Experience:
• 3 or more years in a BSA/AML/OFAC compliance role required
• Experience using MS Office and automated AML monitoring software
• Demonstrated ability to perform complex analysis

 

Bank Officer or AVP title depending on experience

Senior Compliance Manager

American National Bank of Texas

Terrell, Texas
August 15, 2019

 

Contact Information

Russell Beard
russellbeard@anbtx.com
https://careers-anbtx.icims.com
214-863-6023

Guided by our values since 1875, American National Bank of Texas strives, through the power of relationships, to be the preferred bank of choice for individual and business customers in the communities that we serve.

 

Building relationships with our customers, employees, and communities are at the core of everything we do. Join us as we provide our customers with solutions, not just products. We believe in teamwork and empowering high performers who are committed to our mission while achieving personal and professional success.

The Senior Compliance Manager has responsibility for developing compliance strategy and directing and monitoring the bank’s overall compliance program. The incumbent provides compliance risk oversight and guidance to the bank and divisional management regarding applicable Federal and State laws and regulations governing the bank and its products and ensures compliance processes throughout the organization are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations. The Senior Compliance Manager directs the activities of the compliance department staff and acts as the liaison with regulatory agencies, internal and external advisers, and other internal control groups on compliance related issues. Additionally, the individual works closely with, and as an adviser to, management to establish an appropriate compliance culture throughout the bank, including the development of specialized compliance training programs.

 

–Develops the Compliance Program and Compliance Strategic Plan in alignment with bank objectives
–Develops and implements an effective system for reporting compliance risks and issues to management and the board
–Remains current on all pertinent consumer, lending and other bank-related laws and regulations changes and provide guidance to business units
–Performs annual compliance risk assessments and reports to management and the board
–Advises bank management in the development and implementation of new/changed products and services and related processes to address new/changed regulations
–Ensures compliance risks are identified, assessed, monitored, managed and reported

Requirements:
–Bachelor’s degree or equivalent educational/work experience
–9 years compliance management experience
–5 years consumer compliance experience in deposit, consumer lending and mortgage lending operations required
–CRCM Certification highly preferred

 

Skills
–Experience in conducting reviews, following up and monitoring risk issues that have been elevated
–Ability to handle sensitive issues professionally and discreetly
–Ability to work strategically across multiple lines of business to create practical compliance solutions
–Working knowledge of Microsoft Excel and MS Word
–Work occasionally requires more than 40 hours per week to perform the essential functions of the position
–Lifting in an office setting may be required up to 30lbs.

 

Equal Opportunity Employer

Compliance Assistant

PointBank

Pilot Point, Texas
July 22, 2019

 

Contact Information

Octavio Ballard
oballard@pointbank.com
https://pointbank.efficientapply.com
940-686-7087

The purpose of this position is to assist the Compliance Officer in reviewing documents and transactions and preparing written reports to assure compliance with all applicable banking laws and regulations, as well as bank policies, procedures, and practices as related to regulatory compliance and the Community Reinvestment Act (CRA). Additionally, the position supports the establishment and maintenance of ongoing Compliance and CRA programs, while working with regulatory agencies [particularly, the Federal Reserve Board (FRB)] to validate whether all areas subject to compliance reviews are operating according to current requirements.

 

This position reports directly to the Compliance Officer and indirectly to the Risk Officer.

 

This position is classified as Non-Exempt under the FLSA.

Perform compliance reviews on a scheduled and/or ad hoc basis.

Assist, as required, in the preparation of compliance review results for reporting to the Board of Directors (Board or BOD) or appropriate committees.

Assist in the monitoring and reporting of CRA activity to the appropriate committee(s).

Assist in the preparation of regulatory training sessions concerning the most recent examination results, compliance reviews, and/or examiner “hot topics.”

Attend required meetings and complete all training necessary to ensure regulatory compliance.

Assist in the coordination of, and preparation for, FRB and/or state regulatory agency exams, and external audits/reviews.

Assist in the maintenance of informational resources in order to access applicable federal and state regulations.

Comply with all applicable federal and state regulations and guidance.

Comply with all applicable BSA/AML/OFAC policies and procedures, including participation and required training and identifications of suspicious activity.

Offer suggestions to improve branch/departmental operations and overall bank processes.

Other activities and functions as deemed necessary or appropriate by the Compliance Officer.

Performs other tasks, duties and assignments as directed by Management, the Chairman of the Board and/or Board of Directors. Accepts any cross-training as directed by Management, works in other branches, if needed.

 

EQUIPMENT USE

Telephones-Occasionally
Copier/Fax Machine-Occasionally
Computer-Frequently

 

PHYSICAL & MENTAL DEMANDS

Light to Medium work-Exerting up to 50 pounds of force occasionally, and/or up to 10 pounds of force frequently to lift, carry, push, pull or otherwise move objects, including the human body.-Rarely

Stooping/Crouching-Rarely
Standing/Walking-Occasionally
Sitting-Frequently
Pushing/Pulling/Lifting-Rarely
Repetitive Motions-Frequently
Talking/Hearing-Frequently
Reading/Writing-Frequently

Close Visual Acuity-worker is required to perform such tasks as preparing and analyzing data and figures, transcribing, or viewing a computer terminal.-Frequently

Interpreting Data-Frequently
Problem Solving-Frequently
Making Decisions-Occasionally
Organizing-Frequently

 

WORKING CONDITIONS

Worker is subject to inside environmental conditions; protection from weather conditions, but not necessarily from temperature changes-Frequently
Worker is subject to outside environmental conditions when traveling to branches/departments, bank events or required bank meetings and training sessions -Rarely
Worker is subject to local travel when traveling to branches/departments, bank events, or required bank meetings and training sessions -Rarely

 

The above statements describe the general nature and level of work being performed. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of the position. Employees holding this position will be required to perform any other job-related duties as requested by management. All requirements are subject to possible modification to reasonably accommodate individuals with a disability. If you are an individual with a disability and would like to request a reasonable accommodation as part of the employment selection process, please contact Recruiter at 940-686-7087. PointBank is an Equal Opportunity Employer of minorities, women, veterans, and disabled.

Must have a minimum of one (1) year experience working for a financial institution (preferably with a compliance background). Prefer the candidate has an understanding of bank compliance and a basic knowledge of Federal Regulations (e.g. ECOA, HMDA, FCRA, RESPA, TILA, UDAAP). Additional subject-specific education from recognized sources (e.g., ABA, TBA, IBAT, BOL) are a plus.

 

Language Skills – Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, and governmental regulations. Ability to write reports, business correspondence, and procedural guidance. Ability to effectively present information and respond to questions from groups of co-workers, managers, and/or directors.

 

Mathematic Skills – Ability to work with mathematic concepts, such as probability and statistical inference, and fundamentals of creating graphs from data sets and the basics of spreadsheet pivot tables. Ability to apply concepts such as fractions, percentages, ratios, and proportions to practical situations.

 

Reasoning Ability – Ability to define problems, collect data, establish facts, and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematic or diagram form and deal with several abstract and concrete variables.

 

Computer Skills – To perform this job successfully, an individual should have knowledge of bank’s basic information systems; database software; Human Resource systems (e.g. Time Clock functions); internet software; spreadsheet software and FFIEC’s HMDA & CRA Small Business Lending data entry and report generating software.

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