Assess regulatory risk within the AUB Lines of Business (LOBs)
Advise LOBs on compliance risks
Manage and perform compliance risk assessments
Consult with business units to develop/maintain controls to mitigate risk
Provide strategic regulatory guidance to LOBs
Communicate with senior leadership
Schedule, manage, and perform compliance risk assessments to assess performance
Interpret, perform, and provide research on compliance and regulatory questions
Identify risks, control weaknesses through assessments
Effectively communicate results of assessments to leadership
Review, update and create relevant compliance policies and procedures
Provide Compliance oversight of supported LOBs
Participate in the development and review of marketing campaigns and materials for compliance
Escalate and report potential violations of law or regulations
Engage with other Compliance teammates and Enterprise Risk Teammates for complete risk identification
Stay abreast of changes to banking laws and regulations
Assist with research and implementation of new regulatory requirements
Adhere to all applicable laws and regulations governing bank functions
Assist with development and delivery of compliance training materials
Review and assess complaints received for supported LOBs
Perform oversight review of testing plans, SLAs, and result memos for accuracy
Coordinate advisory input to compliance committee materials
Perform other duties as assigned

Bachelor's Degree preferred
Five plus years’ industry banking experience to include; lending, deposits, banking operations, and commercial.
Certification as a Certified Regulatory Compliance Manager (CRCM) required (if not certified at time of hire, must obtain certification within a reasonable timeframe)
Analytical skills, particularly with trending and reporting
Demonstrated knowledge of federal and state banking laws and regulations.
Demonstrated understanding of Compliance Management and Regulatory Best Practices.
Excellent communication skills, both verbal and written.
Well organized with attention to detail
Ability to manage multiple priorities
Flexible, able to adapt to change
Superior time management and problem solving skills
Ability to work independently as well as within a team environment
Advanced knowledge of Microsoft Office software
Working knowledge of banking software programs preferred.

Senior Compliance LOB Advisor – Wealth

Key skills