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Years of Experience
Date Last Verified
Senior Compliance Manager The candidate will manage a team of Compliance Advisors and oversee daily operations, including regulatory compliance and advice, problem recognition and resolution, and system administration. Manage staff to meet department goals; address and resolve staff issues. Provide training to staff to facilitate career growth and development. Gather and interpret new/revised state and federal laws and regulations and disseminate appropriate information to Commerce Bank business lines. Assist in review and/or implementation of new products, services, and/or software as it relates to Compliance functions. Serve as liaison between the Compliance Department and the assigned business unit(s) on identifying and addressing compliance concerns as changes are made. Review and evaluate the effectiveness of operating procedures and controls related to compliance objectives. Review and monitor policies and procedures to ensure compliance with federal and state banking regulations and compliance program. For technology initiatives, the Senior Compliance Manager and Banking Compliance Advisors lead and support lines of business with mapping system-related compliance controls and integrating oversight of technological changes into the overall compliance management program. Create and provide ongoing reports to management regarding compliance issues and trends. Maintain ongoing relationships with Commerce Bank business line and support unit partners. Demonstrating leadership to, and providing training for, bank employees in compliance-related matters. Oversight of Banking Compliance training program materials for functional areas within management responsibility, including development of content and establishing training schedules. Assist in responding to requests from regulators and/or addressing exceptions from audits, both internal and external. Assist in the completion of compliance risk assessments. Member of the Regulatory Compliance management team. Stay abreast of compliance-related rules, regulations and guidance in an effort to assist the Regulatory Compliance Director and bank employees. Review and interpret new and pending laws and regulations that potentially affect the business’ operations. Proactively monitor and assess regulatory trends, industry actions, and other emerging compliance and risk issues. Other duties, responsibilities and projects as assigned.
Qualification and Experience
The candidate should have Bachelor’s Degree ; advanced degree preferred (JD, MBA, or other related degree). Industry certification or continuing education in Bank Compliance is preferred. Should have 7+ years of compliance experience. Financial services industry experience preferred. Should have 5+ years of management experience. Familiarity with banking laws and regulations.
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