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Years of Experience
Date Last Verified
Compliance Attorney The candidate will be responsible for overseeing the Bankâ€™s compliance program and understanding applicable state and federal laws, regulations, regulatory guidance, and internal Bank policies and procedures. Will partner closely with business units to ensure compliance with applicable law and regulations, and provide support to business units in analyzing laws and regulations that impact both the Bank and the Bankâ€™s member institutions, and facilitating the development of appropriate controls to mitigate compliance risks. Work closely with Law Department attorneys and business units to support the Bankâ€™s compliance program and monitor, interpret and communicate regulatory developments and compliance matters across the organization. Analyze and monitor state and federal laws and regulatory updates that affect the Bankâ€™s business and the Bankâ€™s member institutions. Draft and provide concise and brief summaries of legal developments to Law Department attorneys and business units on new legal and regulatory updates. Maintain on-going knowledge of state and federal banking regulations, including regulatory guidance, and understanding of the impact such regulations and guidance may have across the Bank, its processes and outcomes, including upstream and downstream. Update the inventory of legal compliance requirements and risk controls, and coordinate compliance reviews with the applicable business units to ensure Bank compliance with laws and regulatory matters. Partner with the business units to identify compliance controls and gaps; solicit input from Law Department subject-matter attorney as necessary; prepare gap analysis reports and/or other compliance tools as needed. Coordinate compliance related education for the business units as necessary. Draft and maintain compliance reports, including board and management level reports, outlining new regulatory and statutory requirements that impact the Bank and the Bankâ€™s member institutions, including presentation to management level committees as appropriate. Advise business units on compliance law matters, including AML/BSA reporting, record retention matters and review of policies and procedures to ensure compliance with applicable state and federal laws and regulations. Conduct legal research and prepare memoranda as requested. Assist Law Department attorneys in drafting and submitting comment letters to various state and federal regulatory agencies as necessary. Prepare regulatory reports as requested, and assist Law Department attorneys and business units during the regulatory examination process or internal audit reviews, and assist in preparing responses to both regulatory and internal audit inquiries. Work closely with and provide guidance to the compliance paralegal to support the Bankâ€™s compliance program.
Qualification and Experience
The candidate must have Juris Doctor degree preferably from an accredited law school and a licensed attorney in good standing. Should have 2-7 years experience in compliance matters in banking or financial services. Strong academic credentials is required. Ability to work effectively and efficiently in a fast-paced environment, and work both independently and as part of a team is needed. Excellent written and verbal communication skills is must. Experience in a law firm or corporate law department handling transactional, securities, corporate law or compliance matters, or a bank regulatory agency is preferred. Excellent speaking, listening, telephone, and writing skills is must. Proficient in MS Office Suite (Outlook, Excel, PowerPoint and Word) and good computer aptitude generally is essential.
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