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Senior Compliance Officer

First National Bank
Southlake, Texas

September 23, 2022

Contact Information

Kerry Sheppard

Email: ksheppard@fnbtx.com

Phone: 940-687-3107

Website: www.fnbtx.com

The Senior Compliance Officer is responsible for implementing and administering all aspects of the Bank’s Compliance Program as developed by the Chief Risk and Compliance Officer. This position is a direct report to the Chief Risk and Compliance Officer for the Bank.

This position is a working manager who plans, organizes, executes and controls the Bank’s day-to-day compliance activities; collaborates with the department managers in the overall administration of these directives for the Bank. Participates in audits and examinations and serves on various management committees as assigned. Performs assigned duties related to the Community Reinvestment Act Program, Policy Review and assisting with all Regulatory requests. Advises the Board of Directors, Executive Management and Bank personnel of emerging compliance issues and consults and guides the Bank in the establishment of controls to mitigate risks.

The following duties are not intended to serve as a comprehensive list of all duties required in this position. This job description is intended to provide a representative summary of the major duties and responsibilities. The Compliance Officer may not be required to perform all duties listed and may be required to perform additional duties as requested.

Responsibilities:

ESSENTIAL DUTIES AND RESPONSIBILITIES:
• Responsible for maintaining enterprise compliance with Dodd-Frank Act, Consumer Protection Act and all other appropriate regulatory laws.
• Responsible for coordination of all regulatory exams.
• Responsible for data quality of risk management systems and devise systems and processes to monitor validity of risk modeling outputs as well as gathering risk related data from internal or external resources.
• Responsible for identifying, documenting, analyzing and ensuring communication of key risks, and areas of potential risk, along with recommending ways to control or reduce risk.
• Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
• Manages day-to-day operation of the Program.
• Responsible for the review and approval of marketing materials for regulatory requirements.
• Tracks regulatory and compliance changes and deadlines and partners with leaders to develop policies or procedures to ensure the bank is in compliance.
• Researches and interprets upcoming changes and communicates to Executive Management and the leadership team what the changes mean and how they affect the bank.
• Develops and provides execution action plans and provides leadership to ensure the organization uses best practices for safety and soundness.
• Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
• Collaborates with other departments (e.g., Risk Management, Internal Audit, Employee Services, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the corporate attorney as needed to resolve difficult legal compliance issues.
• Provides educational meetings/roundtables to educate bank leaders in areas that are going to experience significant changes in the compliance/regulatory arena by helping shape new initiatives and providing coaching to team members affected.
• Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
• Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
• Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.
• Provides reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and senior management informed of the operation and progress of compliance efforts.
• Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
• Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Ombudsman Program; (b) heightened awareness of Standards of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
• Works 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.
• Monitors the performance of the Compliance Program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
• Work with the Senior Leadership of the appropriate unit to discuss changes to processes and procedures. Any changes to processes or procedures are to be communicated and implemented by the Unit Leadership and not by the Audit, Compliance or BSA staff.
• Serves as back up for the BSA Officer and as assigned, for the Chief Risk and Compliance Officer.
• Compliance with BSA and all other regulations is required.

EXPERIENCE AND EDUCATION REQUIREMENTS:

• Undergraduate degree in finance, accounting, economics, law, business or equivalent in experience.
• Certified Regulatory Compliance Manager (CRCM) certification which requires 3 years of experience as a compliance officer and 80 hours of training courses approved by the Institute of Certified Bankers preferred.
• Certified Bank Compliance Officer (CBCO) certification preferred.
• Certified Regulatory and Compliance Professional (CRCP) certification preferred.
• 3 to 5 years’ experience with managing compliance regulatory projects or working in an investment banking environment or other financial management position is required.

Legal Compliance Specialist

CommScope

 Richardson, TX, Hickory, NC, Shakopee, MN, Horsham,PA, or Suwannee, GA 

August 30, 2022

 

Contact Information

Stephanie Maness

Email: Stephanie.Maness@commscope.com

Website: https://jobs.commscope.com/job-invite/72156/

The Legal Compliance Specialist will collaborate with internal clients to understand business goals, while identifying potential risks to and opportunities to advance the objectives of CommScope’s privacy program, litigation activities and labor and employment law initiatives.

 

This role will support the planning and execution of the Privacy program’s maturation by establishing workflows and functions, identifying and implementing continuous improvement, simplification, and synergy opportunities with compliance programs and systems across the Legal Department and the Company. In addition to the global Legal Department members, this role will partner closely with Human Resources and privacy stakeholders across many functions and at all levels of Company management.

 

CommScope is on a quest to deliver connectivity that empowers how we live, work, and learn. Our employees push the boundaries of communications technology that enables groundbreaking discoveries like 5G, the Internet of Things, and gigabit speeds for everyone, everywhere. With our unmatched expertise in copper, fiber, and wireless infrastructure, our global clients rely on us to outperform today and be ready for the needs of tomorrow.

 

If you want to grow your career alongside forward-thinking, hardworking, and caring people who strive to build what’s next…..come connect to your future at CommScope.

 

CommScope is an Equal Opportunity Employer (EEO), including people with disabilities and veterans. If you are seeking an accommodation for the application or interview process, please contact us to submit your request at talentacquisition@commscope.com. You can also learn more about CommScope’s accommodation process and EEO policy at careers.commscope.com/eeo

Support Privacy and Compliance Management 

  • Maintain policies, process documentation, and records
  • Apply technology platform expertise and administration (OneTrust experience a plus)
  • Tracking, assigning, and responding re: data subject access rights requests, privacy impact assessments, privacy audits
  • Curate training, education, and awareness materials
  • Be a privacy resource to Commercial Legal and Indirect Procurement teams
  • Organize and maintain information exchange with cross-functional privacy stakeholders such as HR, Information Security, and Marketing Operations.

Litigation Support: 

  • Initiate and manage legal holds.
  • Support Service of Process intake and tracking to resolution.
  • Preparation and production of documents responsive to 3rd party subpoenas.
  • Work with Legal Ops on administrative aspects of outside counsel relationship such matter management, billing, and tracking against budget.

Labor & Employment Law Support: 

  • Maintain and administer database of template legal employment forms and agreements for use by the HR team globally under direction from attorneys.
  • Prepare routine correspondence to former and prospective employees related to post-employment obligations.

Legal & Compliance Team Support: 

  • Cross train on other support functions in the Legal Department.
  • Other legal and compliance duties as assigned.

Required Qualifications For Consideration:

  • Excellent written and verbal communication skills
  • Experience collaborating effectively in a team environment and with various levels of management and staff
  • Proficient in Microsoft 365 Suite including: Word, Excel, PowerPoint, Teams, and SharePoint.
  • High integrity and discretion with confidential and sensitive information.
  • Experience with privacy program management and/or other compliance programs.
  • Paralegal Certification and/or Bachelor’s Degree
  • 2+ years of experience in a comparable role

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