Senior Compliance Officer, Prudential Regulation Compliance – Reg W, Reg O, Anti-tying

Role Overview

• Provide second line of defense compliance oversight for Regulation W, Regulation O, and Anti-tying regulations.
• Serve as the bank’s Regulation W Officer.
• Provide strong leadership, mentoring, and guidance to peers and other members of the team as well as other members of Risk Management.
• Respond to internal and external audits, exams, and requests for information.
• Develop and maintain positive working relationships with internal clients, staff, peers, and LOB senior management.
• Maintain relationships with industry peers and regulatory bodies.
• Identify, respond and/or escalate risks as appropriate.
• Assist in the development of policies, standards, procedures, and guidelines to align with corporate risk appetites, tolerances, and policies.
• Conduct review and challenge activities and escalate as warranted.
• Support or direct project teams in the ongoing development and implementation of strategic plans and objectives, and regulatory changes.
• Support other risk disciplines in risk identification, mitigation, and reporting.
• Exemplify understanding of and implement the three-lines-of-defense model.
• Perform other duties as required.

Requirements

• Bachelor’s degree or comparable education required, compliance certification, a plus.
• Minimum of 5 years of relevant industry experience.
• Extensive knowledge of the banking related statutes and regulations.
• In-depth practical knowledge of internal controls, risk assessments, compliance processes, and applicable techniques for the implementation of regulatory and legal requirements.
• Strong relationship management and leadership skills, including the ability to work in a team environment and positively accept and lead through change.
• Proven track record of integrity, strong ethics, and sound decision-making skills, including the ability to make decisions independently and quickly.
• Ability to effectively communicate to lines of business and senior management, both in writing and verbally.
• Strong attention to detail coupled with strong problem-solving and analytical skills.
• Proven ability to have, maintain, and establish strong contacts within the industry to be aware of current industry issues and practice.
• Proven ability to think proactively and drive results through people.
• Strong project management and/or continuous improvement skill.

Benefits

• Please click here for a list of benefits for which this position is eligible.
• Flexible work options in certain circumstances.