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Director / Vice President - Compliance The candidate will partner with the Chief Legal Officer to provide thought leadership, policy and procedure oversight, risk management advice; interface with bank partners on compliance issues. Will serve as the firm Capital BSA/AML Officer and as a primary contact source for bank partners and third-party auditors; work with auditors and bank partners during regulatory compliance examinations and in the course of daily business. Maintain knowledge of the laws and regulatory guidelines requiring firm Capital’s compliance; attend training and information sessions to keep current with best compliance practices and emerging trends. Monitor, audit and review existing compliance programs and participate in the development of new compliance policies and programs. Actively participates on appropriate leadership, and/or operating committees, to ensure that compliance is integrated with business operations; provide guidance to senior operational leadership on the status of compliance across the business. Develop procedures and training to support the compliance function consistent with all applicable internal and external policies, standards and regulations. Work with others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees in the health and benefits businesses, as well as ongoing compliance and professional standards training for these colleagues. Conduct training and education to colleagues that promotes ethical conduct, heightened awareness of potential breaches and understanding of new and existing compliance issues, related policies and procedures. Oversee the dissemination of compliance-related information to firm employees to ensure their familiarity with compliance requirements; develop and administer compliance training programs for all employees. Collect, analyze, and report on relevant statistics. Comply with firm Capital policies and procedures as well as applicable banking regulations and laws. Draft, revise, implement and update all written supervisory procedures (WSPs), compliance manuals, policies and procedures, and ensuring compliance with same by all advisors and staff. Undergraduate degree in a business-related discipline required; JD or Master’s is preferred. Professional certification is preferred (such as CAMS, CRCM, CPA, CIA, CFE, CISSP, etc.) is needed. Should have 5+ years of experience managing a Regulatory Compliance program in the banking and/or finance industry. Knowledge of, adherence to, monitoring and responsibility for compliance with state and federal regulations and laws as they pertain to this position including to the following: Regulation B (Equal Credit Opportunity Act), Fair Credit Reporting Act (FCRA), Right to Financial Privacy Act (RFPA, state and federal), Bank Secrecy Act (BSA), Office of Foreign Assets Control (OFAC), Dodd-Frank Act (specifically Unfair, Deceptive, and Abusive Acts and Practices (UDAAP), and Controlling the Assault of Non-Solicited Pornography and Marketing Act (CAN-SPAM) is essential. Experience serving as a liaison between internal departments and vendors to ensure enterprise-wide needs for due diligence, risk assessment and vendor compliance are being accomplished is needed. Experience in Quality Assurance and internal audit, is a plus. Experience at working in a fast-paced and dynamic environment is essential. Experience in Microsoft Office (Word, Excel, PowerPoint) is needed.
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