Senior Compliance Advisor – Wealth

Role Overview

• Engage as Compliance primary point of contact to 1LOD line of business unit, offering advice and guidance on the identification and remediation of regulatory risks and to serve as a credible effective challenge to the 1LOD.
• Schedule, manage, and perform compliance risk assessments to assess performance, risks, internal controls and adherence to regulatory requirements for supported LOBs.
• Interpret, perform, and provide research on compliance and regulatory questions impacting the bank's operations and performance.
• Identify risks, root cause, control weaknesses or gaps through compliance risk assessments and work with LOB management to correct deficiencies.
• Effectively communicate results of compliance risk assessments and related recommendations to 1LOD and 2LOD leadership.
• Review, update and create (when necessary) relevant compliance owned policies and procedures to ensure appropriate Compliance oversight for supported LOBs.
• Provide Compliance oversight of supported LOBs and participate in the development and implementation of new products, processes and initiatives within the 1LOD.
• Participate in the development and review of marketing campaigns and materials to ensure compliance and associated risks with advertising are addressed.
• Escalate and report any potential violations of law or regulations to 2LOD leadership.
• Work with Compliance Manager to maintain, enforce, and strengthen Atlantic Union's Compliance Program.
• Engage with other Compliance teammates and Enterprise Risk Teammates to ensure complete risk identification and remediation plans.
• Stay abreast of changes to federal and state banking laws and regulations affecting product offerings and areas of operations at Atlantic Union; inform management of impacts of changes.
• Assist with research, dissemination and implementation of new and updated regulatory requirements.
• Adhere to all applicable laws and regulations governing bank functions, including compliance with Atlantic Union Compliance Program and associated policies and procedures.
• Assist with development, review, publishing and delivery of compliance related training materials.
• Obtain necessary training to keep current on regulatory compliance and bank functions.
• Assist Compliance Manager with coordination and preparation for Regulatory exam; support 1LOD in meeting deliverables for audits and exams with compliance impacts.
• Review and assess complaints received for supported LOBs.
• Manage/supervise compliance advisory staff.
• Perform oversight review of testing plans, SLAs, and result memos for assigned LOBs for accuracy and completeness.
• Coordinate advisory input to compliance committee materials. Performs other duties as assigned.

Requirements

• 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.

Benefits

• General information on our comprehensive benefits package can be found by visiting https://www.atlanticunionbank.com/about/careers/benefits