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Financial Examiner IV-VII BSA Specialist

Texas Department of Banking

Dallas, Austin, Houston, Lubbock, San Antonio

February 16, 2018


Contact Information

Corina Moreno

Acts as lead examiner for Bank Secrecy Act/ Anti-Money Laundering (BSA/AML) target reviews and examinations involving small or large, noncomplex or complex institutions without supervision. Recommends corrective action of problem institutions to Regional Director. Works under minimal supervision with considerable to extensive latitude for the use of initiative and independent judgment.

• Assist the Regional Director or Regional Review Examiner in their duties as directed, primarily related to BSA/AML issues.
• Perform as lead examiner for BSA/AML target reviews and examinations for any institution, regardless of size and complexity.
• Provide recommendations to and works with the Regional Director to determine corrective actions for BSA/AML problem institutions.
• Ensure proper application of departmental policies and procedures, as well as, state and federal regulations.
• Represent the Department at Board meetings of financial institutions of any size or complexity regarding BSA/AML issues.
• Perform report review function of commercial banks and trust companies regarding BSA/AML issues.
• Provide assignments and training in an equitable manner to assigned personnel.
• Prepare schedule of supervisory examinations and allocate examiner resources in an efficient manner.
• Performs other supervisory and research duties as prescribed by the appointed supervisor.
• Serves as a leader, mentor and supervisor of less experienced examiners.
• Performs other duties as assigned.

Experience and Education
• Graduation from an accredited four-year college or university with major course work in finance, accounting, business administration, economics or job-related field with a minimum of six hours (nine preferred) in accounting to include basic and or intermediate accounting.
• Minimum of four years of progressive regulatory experience with a state or federal banking regulatory authority is required.
• Must be a current or former bank examiner commissioned by the Federal Deposit Insurance Corporation, Federal Reserve, Office of the Comptroller of the Currency, Texas Department of Banking, or another approved banking authority.


Knowledge, Skills, Abilities
• Possess and exhibit excellent oral and written communication skills.
• Possess working knowledge in the use of personal computers, including Microsoft Word and Excel.
• Knowledge of statuary requirements, business operating procedures and reporting techniques.
• Ability to serve, without supervision, as lead examiner of small or large, non-complex or complex, and non-problem or problem institutions.
• Skill in reviewing and auditing financial data and records.
• Ability to follow agency documentation requirements relating to BSA/AML procedures performed during reviews.
• Ability to maintain effective working relationships with supervisors, co-workers, team members, regulated entity employees and the public.
• Ability to be self-motivated and exercise initiative and independent judgment.
• Ability to maintain confidentiality and handle sensitive information.
• Ability to mentor, motivate and train less experienced examiners.
• Must demonstrate an ability to work independently on projects with little to no supervision.
• Must be able to work closely with the Regional Directors, Austin Headquarters personnel and other BSA Specialists to coordinate BSA examinations and keep agency staff well apprised of examination and monitoring activities.


Special Requirements
• Position requires extensive travel, 40%- 70%. The selected person may be required to work independently for many examinations that require only one specialist.
• The selected candidate will be required to earn their Certified Anti-Money Laundering Specialist Certification within one year of being selected.
• Must possess or obtain within six months a valid Texas Drivers license. Satisfactory driving records are required for driving any vehicle to conduct agency business. Final applicants must certify that personally owned vehicles used for agency business have Texas minimum liability coverage and a valid state inspection.
• This position requires that the incumbent demonstrate strong personal financial responsibility and integrity.
• Final applicants may be subject to an employment credit check, driving record check, and criminal background check


Physical and Cognitive Requirements:
The physical demands described here are represented of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

This position requires the incumbent to primarily perform sedentary office work; however, mobility (standing and walking) is routinely required to carry out some duties. It requires extensive computer, copiers, printers telephone and client/customer contact. The job also requires normal cognitive abilities requiring the ability to learn, recall, and apply certain practices and policies. It requires the stamina to maintain attention to detail despite interruptions. Marginal or corrected visual and auditory requirements are required for reading printed materials and computer screens and communicating with internal and external customers.

The position requires:
• Regular and punctual attendance.
• Frequent use of personal computer, copiers, printers, and telephones.
• Frequent sitting.
• Frequent work under stress, as a team member, and in direct contact with others.
• Extensive Travel: at least 40% -70 with overnight stays, independently or part of a team.

BSA Analyst III

Point Bank

Pilot Point, Texas

February 6, 2018


Contact Information

Octavio Ballard

BSA Analyst III
Promote, market, and facilitate the overall sale of products of the bank. Contribute to the bank’s growth by the effective sale of bank services to new and existing customers with emphasis on courteous and professional service.

This position reports directly to the BSA/AML/OFAC Officer.
This position reports indirectly to the EVP/Chief Risk Officer


This position is classified as Exempt under the FLSA.


The purpose of this position is to assist the BSA/AML/OFAC Officer in maintaining compliance with all applicable banking laws, regulations and rulings, as well as bank policies and procedures, as it relates to BSA / AML / OFAC.


Maintain awareness of legislative developments and a working knowledge of state and federal laws/regulations as they relate to BSA/AML/OFAC.
Monitor for and investigate suspicious activity through the use of the Bank’s BSA/AML/OFAC software solutions and internal report/information reviews.
Work 314(a) and OFAC Watch List alerts timely and assist bank staff with resolving potential Watch List hits.
Assist in all CDD and EDD functions with regards to the Bank’s High Risk Entity monitoring program.
Conduct CTR Exemptions reviews and monitor those exemptions for proper reporting.
Assist with developing, implementing, and administering all aspects of the BSA/AML/OFAC program as requested by the program officer and/or senior management.
Assists with various quality control reviews and monitoring using industry standard and regulatory guidance sampling methods to ensure the Bank’s BSA/AML/OFAC compliance efforts are maintained on a daily basis.
Assist in audit/exam preparation and tracking responses to exam/audit findings.
Study problems and recommend changes in present policies, practices and controls; and be knowledgeable of regulatory changes.
Attend all meetings and complete all training required to ensure regulatory compliance.
Perform other duties and assignments within the bank at Management’s request; accept any cross-training as directed by Management, works in other branches if needed.

Minimum 3 years experience in conducting suspicious activity monitoring and/or CDD investigations.
Knowledge of the BSA, USA Patriot Act, and OFAC regulations.
Experience conducting EDD Reviews and monitoring
Experience in the review and creation of CTRs
Experience conducting due diligence reviews for potential new high risk customers, services, industries, or lines of business.
Experience with online research systems.
Excellent and effective communication skills (oral, written, listening)
Strong organizational, problem solving, and analytical skills
Versatility, flexibility, and willingness to work within constantly changing priorities
Performance and personal integrity that demonstrates company corporate values


Frequency: (R) Rarely 0-15%; (O) Occasionally (16-45%); (F) Frequently (46-100%)
Copier/Fax Machine-F


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.
Repetitive Motions-F
Close Visual Acuity-worker is required to perform such tasks as preparing and analyzing data and figures, transcribing, or viewing a computer terminal.
Interpreting Data-F
Problem Solving-F
Making Decisions-O


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

Chief Compliance Officer

First United Bank

Durant, Oklahoma

February 3, 2018


Contact Information

Greg Carter

The Chief Compliance Officer is responsible for the development and implementation of a regulatory compliance risk management framework appropriate for the size and complexity of Durant Bancorp. The Chief Compliance Officer provides direction to, and has oversight of, the compliance program that documents how compliance risk is identified, measured, monitored and reported to the Audit & Compliance Committee of the Board of Directors, as well as senior management. The Chief Compliance Officer prepares monthly reports for the Audit & Compliance Committee of the Board of Directors to evaluate and assess compliance risk enterprise-wide, and report such information to the Company’s Board.

1. Maintains an enterprise-wide compliance risk management framework that incorporates risk assessment, control design, training, testing, and reporting of compliance matters.
2. Defines and implements a process for reporting to the Audit & Compliance Committee the status of regulatory compliance, including the details of any identified compliance issues and the corrective action taken.
3. Leads and oversees a team of direct reports and provides guidance regarding each Company’s compliance management program.
4. Champions a corporate culture in which all personnel view regulatory compliance as aligned with the Company’s purpose and values, and is regarded as a key objective in business decisions and process development/implementation.
5. Establishes effective, collaborative relationships with department heads and process owners so that all personnel are informed regarding compliance requirements and work together to mitigate compliance risk exposure and participate in corrective action when required
6. Ensures compliance risk controls exist in accordance with regulatory standards and best practices
7. Ensures an updated database of all compliance requirements applicable to the Company is maintained, and the processes are in place to ensure compliance.
8. Plays a key role in the risk/reward decision-making process within various Steering and Risk Committees
9. Provides thought leadership on compliance issues and relevant industry trends
10. Possesses a working knowledge of regulatory requirements and remains aware of the economic environment and business best practices that will affect the Company’s strategic plans.
11. Contributes to the Company’s Risk Appetite Statement to ensure appropriate consideration of compliance issues and risks
12. Liaises with external parties to include Federal or State bank examiners, external auditors, and outside consulting firms regarding the Company’s compliance function.
13. Evaluates and acts on all applicable regulatory reports provided to Durant Bancorp to ensure appropriate visibility to all entities/operating divisions.

• Adherence to all First United Policies and Procedures.
• Performs other related duties as required and assigned.

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions
Education and Work Experience
• Bachelor’s degree or equivalent experience.
• Minimum of 15 years of relevant experience in banking/mortgage compliance or as a federal regulator.
• Professional certification such as Certified Regulatory Compliance Manager (CRCM) is preferred.
• Management/Leadership experience related to compliance processes and activities common to multi-state, privately held (and/or publicly traded) banking organizations.
• Experience in managing federal regulatory compliance examinations.
Technical/Functional Competencies
• Strong understanding of compliance processes, risk management and activities common to a multi-state community bank.
• Ability to build effective relationships with a proven record of building trust and credibility through strong interpersonal skills, communications, and actions.
• Ability to negotiate effectively using diplomacy and tact to resolve difficult issues while maintaining a high degree of professionalism.
• Strong influence skills working both internally and externally at senior and executive levels.
• Dedication to integrity, producing high quality results, and meeting deadlines.
• Excellent leadership skills demonstrated by ownership of issues through their resolution while providing sound guidance to others.
• Outstanding communication skills, both oral and written, and the ability to communicate clearly with constituents at all levels of the organization.
• Demonstrated decision-making capability under stressful situations while dealing with complex issues involving competing interests.

NOTE: This job description is not intended to be all-inclusive. Employee may perform other related duties as assigned by supervisor to meet the ongoing needs of the organization.

Regulatory Review Officer

Tolleson Wealth Management

Dallas, Texas

December 27, 2017


Contact Information

Alta Mantsch

About Tolleson Wealth Management:


We are a private, multi-family office serving a select group of clients with substantial wealth. The wide range of wealth management services we provide help simplify our clients’ financial needs and express their family values. Our team is made up of self-starters who enjoy a workplace that’s collaborative and engaging. Together, we foster a culture that embraces teamwork, creativity, fun and excellence. Interested in working with us? We’re looking for talented individuals to help us sustain our passionate and purposeful approach.

· Support the success of the Bank’s Compliance Management System by ensuring compliance on all regulatory compliance related banking laws, incorporating amendments and regulatory guidance as appropriate
· Assist in the regulatory change management process, including logging, completing necessary documentation, and updating various relevant policies and procedures as appropriate
· Assist in the support of all employees on regulatory related matters
· Manage internal self-test and compliance review process, including execution of reviews, for all applicable deposit and lending related activities
· Coordinate with business units to track findings from compliance reviews, regulatory exams, and internal audits, including determining root cause analysis and resolutions
· Lead coordination, collection and assemblage of information related to regulatory exams and internal audits, including responding to interview requests, on-site questions and assembling detailed responses to requests for information
· Perform quality control and pre/post-closing file review on new, renewed and modified loans to ensure compliance with applicable regulations
· As necessary, assist in development and implementation of satisfactory training on regulatory related activities for all TWM employees
· Prepare all necessary formal reports of review findings for issuance to executive management and Board of Directors
· Assist in the review, identification and documentation of community development loans, investments, and activities for the CRA program
· Assist as needed with preparing and maintaining work papers and reports related to internal reviews, including scanning and indexing same, suitable for inspection by examiners and audit staff
· Assist in the collection, compilation and analysis of data required for the completion of various compliance related risk assessments and self-assessments
· Attend regular compliance-related webinars, seminars, and other training in order to stay abreast of regulatory changes
· Adhere to all company related policies and procedures
· Other administrative duties as assigned by management

· Previous experience maintaining a comprehensive Compliance Management System required
· Strong working knowledge of bank regulatory environment and applicable banking regulations, with emphasis on mortgage lending regulation
· Functional understanding of bank operational areas with strong knowledge of internal control structures
· Strong working knowledge of Real Estate and Personal property collateral perfection techniques and documentation requirements
· Ability to develop and adapt in a growing organization
· Experience using Windows based software, including Microsoft Excel and PowerPoint, applications and the Internet
· Must consent to and have favorable consumer report, background check and drug/alcohol test

VP to Head Compliance for Texas Bank

Johnson Search Group

Dallas, Texas

December 12, 2017


Contact Information

Mike Muglia

I am looking for a Compliance Expert with understanding of Regulations A-Z, BSA and AML. You need to be a leader that is proficient in communication, problem solving, and has a diplomatic style when working in a team atmosphere. Ethical conduct is paramount, and strategic thinking is required.


I am reaching out to my relationships in Dallas this week for Christmas help! I know someone is looking to move up in their career and I am looking for a VP – Head of Compliance that has an entreprenurial style in work ethic.


Great bank, Critical Need, just in time to fill someone’s Christmas Wish List!


If you know anyone please send me their name and number I will call or pass on this email and have them reach out to me.


This is an extremely critical position – do not wait – You could be hired by Christmas Day!!

Management experience is necessary, and experience with regulators needs to be demonstrated. Someone who has experience with CTR and MSB will move to the front of the line, particularly a Compliance Manager with heavy experience in Consumer Lending.

Compliance, CRCM, Bank Regulations

Bank Compliance Auditor

Wiseman Bank Services

East Texas area

December 5, 2017


Contact Information

Misty Wiseman

Loan & deposit compliance auditor and fair lending auditor.

Looking for experienced compliance officer/auditor familiar with all bank regulations from A-Z, familiar with fair lending audits and HMDA scrub audits. Must be able to work independently, able to communicate audit findings to bank management in a professional manner and have good report writing skills. Job would be a contract position, but with enough work to keep busy throughout the year if wanted, especially the last six months of the year (which would consist of work almost every week). Job does require traveling to bank sites and may require overnight stay depending on distance to bank. Must have your own form of transportation to get to bank sites. Will be paid by the job and reimbursed for travel expenses as well.

Internal/ external review experience required in all areas of bank compliance including fair lending and HMDA. BSA/AML knowledge helpful but not required as there will not be any audits requiring this knowledge. CRCM or CCBCO preferred.

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