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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
12-15 yrs required
Deputy Chief Compliance Officer Duties: Direct reports and advise management of all aspects related to consumer bank regulations. Direct the development, updates and facilitate implementation of all policies and procedures related to attendant regulations to minimize the organization’s exposure to regulatory criticism, reputation and financial risk of loss. Provide support for business lines/entities through the identification and interpretation of the current banking and related financial services laws and regulations and any changes thereto. Responsible for supervising compliance staff (directly and indirectly) to ensure the organization’s compliance support needs are met. Reports functionally and administratively to the Chief Compliance Officer. Reporting responsibilities to the CCO for the purpose of implementing the corporate compliance program in accordance with standards established in all applicable compliance procedures. Reporting responsibilities to the CCO, the CCO shall provide the compliance officer’s manager periodic performance feedback, but in any event not less than annually. Operates in full compliance with internal policies and procedures as well as applicable regulations and laws, including but not limited to Bank Secrecy Act/Anti-Money Laundering requirements. Responsible to report any procedure or process that doesn’t meet regulatory requirements including fraud, whether suspected or confirmed, to management. This reporting can be done directly to any member of management, including Human Resources or Corporate Security, or can be reported through Associated’s anonymous Ethics Hotline.
Qualification and Experience
Qualifications: Bachelor's Degree Accounting, finance, business or law. Bachelor's Degree Accounting, finance, business or law Advanced or law degree a plus. 12-15 years External/internal audit, regulatory compliance, regulatory examination or consumer law experience. Supervisory experience required. 15+ years External/internal audit, regulatory compliance, regulatory examination or consumer law experience preferred. Supervisory experience required.
Ref-1511752
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