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Compliance Assistant

PointBank

Pilot Point, Texas

April 16, 2018

 

Contact Information

Michael Cockrell
mtcockrell@pointbank.com
www.pointbank.com
940-686-7060

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

• Perform compliance reviews on a scheduled and/or ad hoc basis.
• Assists, as required, in the preparation of compliance review results for reporting to the Board of Directors (Board or BOD) or appropriate committees.
• Assists in the monitoring and reporting of CRA activity to the appropriate committee(s).
• Assists in the preparation of regulatory training sessions concerning the most recent examination results, compliance reviews, and/or examiner “hot topics.”
• Assists in the coordination of, and preparation for, FRB and external audits/reviews.
• Assists in the maintenance of informational resources in order to access applicable federal and state regulations.
• Other activities and functions as deemed necessary or appropriate by the Compliance Officer.

A successful candidate 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

1.Education and/or Experience – Must have a minimum of three (3) years of experience working for a financial institution, including a preferred minimum of two (2) years compliance experience. Must have an understanding of bank compliance and a developed 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.

2.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 directors.

3.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.

4.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.

5.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.

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.

Financial Examiner IV-VII BSA Specialist

Texas Department of Banking

Dallas, Austin, Houston, Lubbock, San Antonio

February 16, 2018

 

Contact Information

Corina Moreno
corina.moreno@dob.texas.gov
http://www.dob.texas.gov/jobs/4512018-08
512-475-1347

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.

Chief Compliance Officer

First United Bank

Durant, Oklahoma

February 3, 2018

 

Contact Information

Greg Carter
gcarter@firstunitedbank.com
214-663-3184

SUMMARY
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.

MAJOR DUTIES AND RESPONSIBILITIES (ESSENTIAL FUNCTIONS)
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.

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

EMPLOYEE SPECIFICATIONS
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.

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