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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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