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We are currently recruiting for a Compliance Officer for a client in the Financial Services and Banking industry in Santa Maria. This is a direct hire position with a company that offers excellent benefits to its employees.
Job Description:
The Compliance Officer function within Compliance Policy & Support includes performing risk assessments, maintaining policy and procedures, assisting in the implementation of corrective actions, and providing staff training/guidance, as appropriate. Individual will provide ongoing support to all Bank departments, business units and functions.
What the client offers (if hired on by the client):
Medical, Dental, and Vision plans for employees and their families
Wellness program
Employee Assistance Program
Health Care and Dependent Care Flexible Spending Accounts
Life, Accident, and Disability Insurance
Learning and Development Opportunities
Internal Promotions (80% of current Executive Management Group was promoted from within)
Tuition reimbursement for classes related to employees position
Paid Holidays
Vacation time
401k Retirement savings plan and profit sharing
Employee discounts on computers, phone plans, and more
Company sponsored events
Complimentary Admissions to concerts and shows
Many other unique advantages
Qualifications:
Bachelor's degree with minimum of 3 years related experience or an equivalent combination of education and experience Or
Bachelor's degree with minimum of 2 years working for a banking regulator (such as the OCC, FDIC, Federal Reserveetc) or equivalent combination of education and experience.
Industry Certification in compliance (CRCM, CFTA, CCTS or CSOP) preferred, with requirement of completion within 2 years if not currently certified.
Proficient with Microsoft Office and the Internet.
Possess excellent human relations, communications and business writing skills.
Possess effective time management and organizational skills.
Ability to work effectively without direct supervision.
Ability to comprehend and interpret Bank policies and procedures.
Demonstrates teamwork in facilitating workflow. High level of cooperation with others and is responsive to the Bank's needs.
Exemplary motivation, enthusiasm, professionalism and team skills.
High level of accuracy and great attention to detail.
Strong analytical and problem solving skills.
Possess full knowledge of retail, commercial, and trust banking services.
Ability to make administrative decisions.
Demonstrates with excellent customer service skills.
Ability to cope with pressure resulting from meeting required deadlines, reporting requirements and training responsibilities.
Exhibit high degree of professionalism and confidentiality in handling and having access to sensitive customer or employee information.
Ability to handle constant use of tact, discretion and good judgment.
Ability to travel throughout the Bank's footprint to perform required duties (less than 25%).
Job Duties:
Participates in various working groups, project teams, task forces to ensure that the Compliance Department needs are clearly represented.
Establishes and maintains communication channels (written and oral) and relationships with Compliance Champions, and all departments and functions of the organization.
Work closely with other groups such as legal, risk management, and audit and business supervisory functions to ensure coverage is comprehensive and consistent.
Assists with compliance monitoring and issues reports as appropriate (e.g. At-A-Glance Control Summaries, quality assurance testing, products and services, and laws, rules, and regulations, enforcement actions, industry guidance, etc.).
Stays current on all consumer protection laws, rules, and regulations (as documented in the Risk Assessment Program); including, regulatory expectations, industry best practices, and risk based principles.
Regularly reviews applicable state/federal laws and regulatory compliance issues through reading and researching applicable publications, news service articles, the Bank's resource library, and external training.
Maintains working knowledge of Bank processes and procedures. Must be comfortable discussing key risk areas and internal controls designed to mitigates risks with various audiences.
Performs/assists with annual risk assessments (e.g. Consumer Protection, Fair Lending, and other risk assessments), as assigned.
Researches, recommends, and implements changes to policy, procedure, forms, disclosures, and documents as needed.
Engages other Bank functions, business lines and support departments to maintain awareness of business trends and initiatives.
Works with the business units in the implementation of regulatory reform/rule change initiatives.
Review new products, marketing materials and other forms of communications for regulatory compliance and adherence to Bank standards.
Maintains a cohesive and collaborative environment, sharing ideas and assisting peers.
Exercises sound judgment and ensures the integrity of confidential information.
Deals with change and handles stressful situations with a professional demeanor.
Keeps senior and executive management fully informed of negative monitoring findings and/or trends or systemic issues identified through monitoring and support functions.
Performs all other job duties as assigned.
We as well as our client are equal opportunity employers, women and minorities are encouraged to apply.
Any offer of employment is contingent on receipt of a satisfactory background check, which will include a review of the applicants criminal history. No applicant will be denied employment solely on the grounds of a criminal offense. The nature of the offense, the date of the offense, the surrounding circumstances and the relevance of the offense to the position(s) applied for will be considered.
