Bank and Finance Compliance Officer Positions Texas, Chicago and DC recruitment

 Compliance Officer – Corporate Equipment Finance Division

Dallas, Texas

They would be responsible for creating, implementing and maintaining the segment strategy on compliance and regulatory issues. They will also work with business leader and legal counsel to determine risks and action plans. In addition they will create, implement and provide training on policies and procedures to assure consistency across the business.

Additional Responsibilities include: 
• Develop and execute business compliance training and re-acknowledgement programs for existing and new employees globally, including tracking of completion metrics. 
• Coordinate design, development and execution of compliance related processes and procedures, systems applications, Commercial Finance metrics, and audit requirements. 
• Participate in business Policy Compliance Review Board and Annual Compliance review (session D) process. 
• Drive segment/functional compliance staff activities, including quarterly segment Compliance Review Board meetings. 
• Support business Chief Compliance Officer and business as needed

Qualifications: 
• 8+ years’ of legal, finance, operations or auditing professional training. 
• Demonstrated knowledge/experience of compliance/regulatory issues in one or more relevant jurisdictions.
• Experience with Anti-Money Laundering, Bank Secrecy Act, USA PATRIOT Act requirements. 
• Familiarity with ethics-related policies, including conflicts of interest, insider trading and anti-bribery rules. 

Compliance Officer, CFO Group

Chicago, Illinois

Seeking a Compliance Officer to work directly with the CFO’s group which covers all treasury and finance operations.

This position will be an integral part of the firm’s Finance function’s leadership team and will lead the Compliance program for the function, firm-wide, with strategic oversight responsibility for liquidity, funding market risk areas.

Responsibilities 
• Develop and execute business compliance training and re-acknowledgement programs for existing and new employees globally, including tracking of completion metrics. 
• Coordinate design, development and execution of compliance related processes and procedures, systems applications, metrics, and audit requirements. 
• Participate in business ERMC Compliance Committee and Annual Compliance review (session D) process as needed. 
• Drive segment/functional compliance staff activities. 
• Support business Chief Compliance Officer and business as needed 
• Develop comprehensive understanding of applicable rules and regulations and ensure business understands them and is compliant with them 
• Responsible for creating, implementing and maintaining the strategy on compliance and regulatory issues for function, including development execution of annual compliance plan 
• Work with business leader, teams and legal counsel to determine risks and action plans 
• Create and implement policies and procedures to assure consistency across the business. 
• Review Federal Reserve, FDIC, SEC rulemakings, interpretations and other regulatory materials and understand the potential impact of legal requirements on the firm’s finance and controllership activity 
• Work with Finance and Treasury to ensure regulatory processes in place to manage and mitigate liquidity funding, and market compliance risk 

Qualifications: 
• 8+ years’ of legal, finance, operations or auditing professional training. 
• Demonstrated knowledge/experience of compliance/regulatory issues in one or more relevant jurisdictions. 
• General knowledge of applicable accounting rules and banking regulations

Compliance Officer for Healthcare Financial Services

Washington, DC

The position is responsible for creating, implementing and maintaining the segment strategy on compliance and regulatory issues. They will work with business leader and legal counsel to determine risks and action plans. They would also create and implement policies and procedures to assure consistency across the business.

Responsibilities: 
• Develop and execute business compliance training and re-acknowledgement programs for existing and new employees globally, including tracking of completion metrics. 
• Coordinate design, development and execution of compliance related processes and procedures, systems applications, Commercial Finance metrics, and audit requirements. 
• Participate in business Policy Compliance Review Board and Annual Compliance review (session D) process. 
• Drive segment/functional compliance staff activities, including quarterly segment Compliance Review Board meetings. 
• Support new and portfolio transaction teams with identification and mitigation of Compliance issues. 
• Support business Chief Compliance Officer and business as needed

Qualifications: 
• 8+ years of legal, finance, operations or auditing professional experience. 
• Demonstrated knowledge/experience of identifying and resolving compliance/regulatory issues. 
• Demonstrated proficiency in Federal Reserve and FDIC bank regulatory requirements. 
• Demonstrated expertise/knowledge of healthcare regulatory issues (e.g. Anti-Kickback, HIPAA, FDA). 
• Experience with broker dealer and investment advisor compliance requirements. 
• ACAMS or equivalent AML certification.

To apply to any of these positions please feel free to email me at Jkelly@compliancesearch.com