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Job Details

Director of Compliance

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JOB DESCRIPTION
Job #: 15789
Status: Inactive / Filled
Title: Director of Compliance
Job Location: MO-Saint Louis
Lower Midwest (IL, IN, IA, KS, KY, MO, NE & OH)
Job Categories: Compliance & Legal
Industries: Banking
Base Compensation:
Low: $75,000       High: $125,000
Total Compensation:
Low: $85,000       High: $145,000
Bonus, Incentives, etc.: Target bonus of 17.5%
Overnight Travel: Up to 25%
Is Employer Willing to Relocate?: No
Employment Type: Full Time / Direct Hire
 
Why is This a Great Opportunity?
Bank is in a growth mode and is looking for someone who can help take them to the next level. An important position at the bank!
 
Job Description:
Position Summary Primary custodian of the policies, reporting frameworks, procedures and training that guide our employees’ adherence to laws, regulations and ethical standards. As such, responsibility for Compliance is not assigned to a given function (e.g., the Compliance Department), but is an integral part of Corporate Governance, and rests squarely on the shoulders of every manager within the Company. At the heart of our efforts to comply with laws and regulations is the Company’s Code of Conduct, which mandates that we are to undertake our activities with the utmost integrity. Hence, the Code sets the tone for compliance activities – to include programs administered by the Bank’s Compliance officers. The Director of Compliance (“The Director”) assesses the extent to which our policies, business processes and procedures conform to our Code of Conduct and the legal and regulatory requirements of the jurisdictions in which the Company operates. He / she acts as an adviser to executive management on measures to be taken to ensure continued adherence, and ensures continuing program development as the organization’s business and operations conform to changing market conditions. Primary Accountabilities The Director ensures that: - Management continually develops and applies policies and procedures with a view to meeting our standards of integrity, as well as federal, state and local legislation and regulations. - Management develops new internal compliance directives and procedures as our business and regulation evolves. - Employees are appropriately aware of, and trained on requirements imposed by regulation and law. - There remains constructive and open dialogue with key regulatory stakeholders in all Company jurisdictions. - We maintain departmental programs and employ the Company’s enterprise risk management framework to routinely monitor all operations for breaches of laws, regulation, and ethics. - We provide advice during management’s execution of operational procedures, such as the execution of a transaction or entry into a relationship with certain clients, or closure of accounts. - Management is apprised of compliance requirements during the launch of new products and services. - Management is apprised of new national and international legislation and regulation. The Director also: - Develops policy and standards for consumer compliance across all business units, products, services, forms, and disclosures. - Collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution. - Consults with the Bank legal counsel and others as needed to resolve complex legal compliance issues. - Oversees periodic compliance assessments conducted by independent third parties. - Ensures that compliance issues associated with new products and significant changes in existing products are properly evaluated and adequately addressed. - Coordinates with Internal Audit on assessments of business units and branches to ensure adherence to stated policies/standards of the Bank as mandated by federal law, regulation, and audits. - Coordinates and conducts bank-wide employee awareness training on compliance, as well as the Board of Directors. - Provides reports on a regular basis, and as requested, to keep the Audit Committee, and senior management informed of the operation, progress and effectiveness of compliance efforts. - Coordinates with other risk managers and business units on compliance activities. Ensures proper reporting of violations to Bank management and duly authorized enforcement agencies as appropriate. - Supervises the Compliance Monitoring Manager and Bank Secrecy Officer. - Chairs the Compliance Council.
 
QUALIFICATIONS
Mandatory Minimum Qualifications - Must Have: - Bachelor’s degree from an accredited college or university on related subject. - Minimum ten years of demonstrated experience in banking, operations, and compliance.
 
Preferred Qualifications: Compliance professional certifications are preferred
 
Education: Bachelor's
 
Certifications: Certified Regulatory Compliance Manager
 
Licenses: None
 
Total Years of Experience: 9-10+
 
Years of Experience in Present Position: 1-2+
 
First Name:
Last Name:
E-mail Address:

 

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