NPAworldwide
Compliance Officer (Bank/Financial Services experience only)
NPAworldwide, Knoxville, Tennessee, United States, 37955
Join to apply for the
Compliance Officer (Bank/Financial Services experience only)
role at
NPAworldwide .
Responsibilities
Fosters the bank-wide culture that every staff position and every function has a regulatory compliance component.
Designs and implements a comprehensive, bank specific Compliance Management System (CMS) incorporating multiple levels of responsibility and oversight.
Reviews the panoply of federal regulations and maps the applicability of each regulation to the specific product and activity within the banks full range of products and services.
Reviews functional / product line operating procedures to ensure they incorporate accurate and appropriate compliance outcomes, including departmental level QC procedures and incorporates new regulations and new regulatory interpretations into the banks operating procedures to ensure prompt compliance.
Performs annual Compliance Risk Assessments which inform the focus and schedule of third‑party compliance audits annually.
Coordinates and interfaces with FDIC staff during its periodic examinations.
Coordinates or performs annual Risk Assessments across broad areas of the bank, which assessments provide senior management and the Board the banks current risk profile and informs the banks audit program.
Oversees the banks records retention and disposal programs.
Responsible for the Disaster Recovery/Business Continuity/Incident Response program and its periodic testing.
Conducts periodic Compliance Committee meetings.
Establishes a CRA program to assure that the Bank performs well under the assessment factors in the regulations.
Develops and submits to the Board an appropriate CRA Public File, reviewing it periodically, and assuring that it is available to the public upon request.
Monitors the Banks CRA performance and recommends ways to senior management to improve the Banks CRA position in the community.
Conducts all necessary training to assure Bank compliance with CRA expectations.
Maintains and communicates audit/exam exception items through the audit monitoring spreadsheet.
Ensures that management responses to audit findings are on point and promptly completed.
Works with audit partners to ensure scope of individual audits is appropriately detailed on a risk basis.
Prepares audit package for Audit Committee meetings and presents Audit Schedule and Audit Tracker.
Qualifications Education:
Bachelors degree in Business, finance, or related field.
Experience:
Minimum ten (10) years of banking experience within the defined market.
Knowledge & Skills
Strong knowledge of regulatory bodies, and the regulations and guidance issued by these bodies, overseeing banks, credit unions, and financial services organizations, such as the FDIC, OCC, FinCEN, Federal Reserve Board, and NCUA.
Experience with business continuity planning, disaster recovery techniques, auditing, proficient in regulatory requirements for banks, and risk management, as well as contract and vendor negotiation.
Demonstrated expertise in a variety of the field's concepts, practices, procedures, security technologies, standards, and networking architectures.
Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
Certifications:
CPA, CIA, or CRCM preferred.
Compensation Annual Salary: $105,000 – $145,000 USD.
Employment Details Seniority Level: Mid‑Senior level.
Employment Type: Contract.
Job Function: Legal (Professional Services).
#J-18808-Ljbffr
Compliance Officer (Bank/Financial Services experience only)
role at
NPAworldwide .
Responsibilities
Fosters the bank-wide culture that every staff position and every function has a regulatory compliance component.
Designs and implements a comprehensive, bank specific Compliance Management System (CMS) incorporating multiple levels of responsibility and oversight.
Reviews the panoply of federal regulations and maps the applicability of each regulation to the specific product and activity within the banks full range of products and services.
Reviews functional / product line operating procedures to ensure they incorporate accurate and appropriate compliance outcomes, including departmental level QC procedures and incorporates new regulations and new regulatory interpretations into the banks operating procedures to ensure prompt compliance.
Performs annual Compliance Risk Assessments which inform the focus and schedule of third‑party compliance audits annually.
Coordinates and interfaces with FDIC staff during its periodic examinations.
Coordinates or performs annual Risk Assessments across broad areas of the bank, which assessments provide senior management and the Board the banks current risk profile and informs the banks audit program.
Oversees the banks records retention and disposal programs.
Responsible for the Disaster Recovery/Business Continuity/Incident Response program and its periodic testing.
Conducts periodic Compliance Committee meetings.
Establishes a CRA program to assure that the Bank performs well under the assessment factors in the regulations.
Develops and submits to the Board an appropriate CRA Public File, reviewing it periodically, and assuring that it is available to the public upon request.
Monitors the Banks CRA performance and recommends ways to senior management to improve the Banks CRA position in the community.
Conducts all necessary training to assure Bank compliance with CRA expectations.
Maintains and communicates audit/exam exception items through the audit monitoring spreadsheet.
Ensures that management responses to audit findings are on point and promptly completed.
Works with audit partners to ensure scope of individual audits is appropriately detailed on a risk basis.
Prepares audit package for Audit Committee meetings and presents Audit Schedule and Audit Tracker.
Qualifications Education:
Bachelors degree in Business, finance, or related field.
Experience:
Minimum ten (10) years of banking experience within the defined market.
Knowledge & Skills
Strong knowledge of regulatory bodies, and the regulations and guidance issued by these bodies, overseeing banks, credit unions, and financial services organizations, such as the FDIC, OCC, FinCEN, Federal Reserve Board, and NCUA.
Experience with business continuity planning, disaster recovery techniques, auditing, proficient in regulatory requirements for banks, and risk management, as well as contract and vendor negotiation.
Demonstrated expertise in a variety of the field's concepts, practices, procedures, security technologies, standards, and networking architectures.
Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
Certifications:
CPA, CIA, or CRCM preferred.
Compensation Annual Salary: $105,000 – $145,000 USD.
Employment Details Seniority Level: Mid‑Senior level.
Employment Type: Contract.
Job Function: Legal (Professional Services).
#J-18808-Ljbffr