Compliance

• Provides first-line guidance and oversight to lines of business, relative to compliance with applicable laws, rules, and regulations.
• Performs compliance reviews in all pertinent areas of the Bank for procedures and compliance relative to the respective regulations.
• Maintains records of all internal testing of required banking, state and federal regulations.
• Prepares final compliance audit reports to inform the appropriate managers of exceptions, violations, or deficiencies.
• Follows-up on timely basis with appropriate managers for outstanding findings, comments, etc.
• Assists in reviewing and updating compliance policies, procedures, manuals, training materials and consumer disclosures.
• Provides support to all areas of the bank by researching and responding to compliance-related inquiries or issues.
• Attends compliance, bank-related meetings, seminars and any other training sessions necessary to become proficient in compliance-related areas.
• Coordinates with legal counsel and operating departments to ensure adherence to laws and regulations relating to new or revised products and services offerings.
• Informs and advises management of conditions and status of establishment adherence to laws and regulations.

Corporate Compliance Specialist

Manager, Credit Bureau Compliance