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Robert Half Legal is assisting an Irving corporation on a direct hire opportunity for a Senior Compliance Officer. This role would report directly to the Chief Compliance Officer, and is a supervisory/management position. Experience in money transmitting/financial services, AML/BSA, or the CFPB are strongly preferred. Duties would include developing policy, managing day-to-day operations, licensing, and researching regulations for new product launches. If you are a Senior Compliance Officer interested in a new opportunity, please email your resume to: firstname.lastname@example.org
Our Dallas-area, retained search client is one of the nation’s most culturally unique & healthy banks (think “Conscious Capitalism” and “Firms of Endearment”). Entrepreneurial, mid-sized regional urban & rural growing 12% annually, soon to cross the magical $10B threshold! The new CCO will create a road map, set expectations, get buy-in, then build and manage a strategic compliance organization across the enterprise, positioning the bank to becoming $10B in size.
We need a banker who thinks holistically, enterprise-wide, strategically vs tactically, knows the 3 lines of defense, has run a CMS, and would enjoy working for an organization that has heart and encourages its people to use theirs.
This team member will assist our client base with general compliance, program development/strategy, risk assessments, and audit needs. This position will support our “Virtual Compliance Officers” who assist our clients with all aspects of community banking compliance. This position requires a high level of understanding of the community banking compliance realm.
Support the implementation of a compliance programs implemented by our Virtual Compliance Officers. This includes project management, policies/procedures, audits, risk assessments, training and relationship management.
Regulatory Risk Assessment including documentation and/or support function procedures and internal controls.
Provide regulatory risk consultation, training and guidance to all clients and other employees
Ability to manage submissions and Board approval of compliance related matters to our clients’ Boards
Monitor and communicate regulatory amendments and associated impact to Policies, Programs and business unit processes
Conduct audits including but not limited to, Deposit, Lending, ACH, BSA/AML/OFAC, etc.
• Preferable 4-year degree, preferably in business or job-related
• CRCM or CCBCO certification a plus.
• Experience in Consumer Regs including: Deposit/Loans/BSA/AML/NACHA
• Excellent ability to interpret and communicate regulatory guidance
• Experience in developing and implementing compliance policies, programs, and procedures – including regulatory risk assessments
• Experience in managing, coordinating and facilitating successful regulatory examinations
• Excellent analytical, communication (verbal/written), organizational, business acumen and report writing skills
• Experience as a Compliance Officer or specialist in the banking or financial service industry managing day-to-day compliance programs
The Director of Audit and Compliance is responsible for architecting and implementing the audit and compliance program at VPay, and takes a significant, hands-on, strategic and tactical approach to the Compliance aspects of Information Security.
• Managing and enhancing the audit and compliance strategy as part of the overall information security strategy of VPay
• Keeping abreast of the evolving regulatory and compliance landscape facing VPay’s business, and ensuring that VPay’s audit and compliance strategy is frequently updated to reflect these changes
• Conducting regular internal audit of VPay’s security controls and operational processes to ensure compliance is built-in to VPay’s IT methodologies, ensuring the business is well prepared for external audits
• As part of internal audit, ensure security controls and IT processes are operating in accordance with VPay’s stated Information
Security policies and procedures
• Steward the annual Security Awareness Training initiatives at VPay
• Provide ownership for annual Incident Response training, ensuring the Incident Response Plan is up-to-date and tested
• Own the Information Security aspects of BCP and DR planning (ensuring data availability)
• Perform backup duties of the Security Operations role when required (training will be provided)
• Participate in the annual Risk Assessment activities at VPay
• Answer customer and partner security and compliance questionnaires as needed
• Provide SAS 70 / SOC bridge letters attesting to compliance status for customers as needed
• Bachelor’s degree in computer science, information security, or information assurance is preferred; other technical degrees will be considered; Master’s in business, information systems, or information security is preferred
• 5+ years of hands-on experience, in an audit capacity, in any mix of SOC 1, SOC 2, PCI and HIPAA regulatory compliance
• Knowledge of BSA, AML, and KYC regulations is preferred
• Knowledge computer forensics tools, SIEM products, vulnerability scanners is preferred
• Knowledge of intrusion detection / prevention systems, Web Application firewalls and network firewalls is strongly preferred
• Knowledge of operating systems and networking is preferred
• Strong analytical, problem-solving, and critical thinking skills
• Strong verbal and written communication skills, and presentation skills
• Other applicable certifications a plus (CISSP, CISA, etc.)
The Bank Secrecy Act (BSA) Investigator is responsible for coordinating the development, implementation and administration of all aspects of the corporate-wide Bank Secrecy Act (BSA) Investigations Program. This position monitors compliance with state and federal Bank Secrecy Act (BSA), USA PATRIOT Act, and Anti-Money Laundering (AML), laws and regulations. The BSA Investigator will interact daily with BSA Officer, BSA staff and branch personnel and/or other departments as needed. Must have excellent communication skills.
• Maintaining proficient knowledge of the rules and regulations; the Bank Secrecy Act (BSA) and USA Patriot Act.
• Working with operations units to investigate transactions that are suspicious in nature.
• Monitoring and tracking BSA-AML high-risk customers and accounts.
• Understanding government regulations with particular emphasis on the Bank Secrecy Act and related regulations.
• Communicating the results of monitoring to department managers and follow-up to ensure issues are addressed.
Banking experience in BSA required. Regulatory compliance knowledge is essential. Knowledge of bank operations.
Other requirements include computer skills with an emphasis in Excel and Word, ability to meet deadlines, work independently and adapt to changing priorities, good follow through, attention to detail and strong documentation skills. Incumbent must have research, analytical and problem solving skills. Must have writing skills and the ability to handle delicate and/or sensitive situations and be able to use and apply basic principles, theories and concepts.
Originally founded in 1950, Weaver currently has approximately 650 employees in nine U.S. locations. The firm has seven Texas offices in Austin, Conroe, Dallas, Fort Worth, Houston, Midland and San Antonio, as well as offices in Los Angeles and New York. Weaver is ranked the largest independent accounting firm in the Southwest by Accounting Today magazine. The firm is also ranked #38 among the top 50 accounting firms in the United States by INSIDE Public Accounting , #40 among the top 100 firms according to Accounting Today and currently sits on the 2017 IPA Best of the Best public accounting firms list.
Weaver serves a broad range of clients including large national and international companies, public and privately-held businesses, nonprofit organizations and governmental entities. In addition to traditional assurance and tax services, Weaver also provides numerous advisory services, including risk advisory; financial advisory; IT advisory; forensic accounting; litigation support; international; property tax; state and local tax; and wealth management services.
Position Summary: 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.
To perform this job successfully, an individual must be able to execute each responsibility adequately. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions, unless it would cause an undue hardship.
Bachelors and/or Master’s Degree coupled with related financial institutions experience.
• 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.
The Chief Compliance Officer (CCO) will oversee the Corporate Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. This position ensures that the Board of Directors, management and employees are in compliance with the rules and regulations of regulatory agencies. The CCO also ensures that company policies and procedures are being followed, and behavior within the organization meets the company’s Standards of Conduct. This position plans, organizes and controls day to day administrative, lending, retail, operational and bank compliance activities; as well as participates in various committees, audits and examinations. The CCO will advise the Audit Committee, Executive Management and employees of emerging compliance issues and act as a consultant/guide in the establishment of controls to mitigate risks.
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• Develop, initiate, maintain and continually revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
• Collaborate with other departments (e.g., Risk Management, Internal Audit, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution
• Consult with the Corporate attorney as needed to resolve difficult legal compliance issues
• Respond to alleged violations of regulations, policies and procedures by evaluating or recommending the initiation of investigative procedures; will develop and oversee a system for uniform handling of such violations
• Act as an independent review and evaluating body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved
• Monitor and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities while identifying trends
• Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future
• Develop a change management program to further a culture that prioritizes compliance behavior
• Provide reports to senior management on a regular basis keeping them informed of the operation and progress of compliance efforts
• Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required
• Establish and provide direction and management of the Compliance Hotline
• Institute and maintain an effective compliance communication program for the organization, including promoting (a) use of the Compliance Hotline; and (b) understanding of new and existing compliance issues and related policies and procedures
• Work with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
• Monitor the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness
• Conduct periodic independent investigations of compliance programs at branch locations
• Provide annual compliance reports to Executives and to Audit Committee
• Attend Board of Directors meetings when appropriate
• Other duties as assigned
• 10+ years compliance/financial/ operational and/or quality assurance experience required
• Certified Regulatory Compliance Manager (CRCM) required
• 10+ years management experience required
• Juris Doctorate with American Bar Association accreditation preferred
• Extensive experience with CFPB regulations and its examination processes
• Experience in a company with multiple divisions/lines of business preferred
• Demonstrated experience with implementing a successful compliance program
• Above average research and analytical skills
• Must possess good judgement
• Exceptional communication skills, verbal and written with an ability to effectively relay information to various audiences
• Ability to work in a fast-paced, high intensity work environment
• Ability to work independently and as a team
• Strong experience in strategic planning and execution
• Strong listening skills with an ability to gain trust
• Good technological ability
This position offers a full range of benefits including Health, Dental, and 401k.
Equal Opportunity Employer
Member FDIC | Equal Housing Lender | NMLS ID 401285
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