Compliance Officer
The Compliance Officer III will support the assigned Regional Banking Group (RBG) Compliance Manager by helping research and analyze pending/new/changed regulations, including related to the Dodd-Frank Act, and determining new requirements necessary for RBG to comply. The Compliance Officer III will also help monitor RBG’s compliance with, Regulations W and Y, Non-Deposit Investment Products requirements, and other assigned regulations. The Compliance Officer III will participate in business-as-usual compliance activities, special compliance projects and initiatives, and ad hoc assignments. THIS POSITION CAN BE LOCATED IN SAN RAMON, SAN FRANCISCO OR SEATTLE OFFICES.
In this role you will:
1. Proactively monitor and analyze pending/new/changed regulations, guidances, enforcement actions and industry trends impacting RBG.
2. Participate in assigned implementation projects required for RBG to comply with new/changed laws and regulations. Research regulatory requirements and provide guidance to RBG personnel and other team member, at the direction of the RBG Compliance Manager.
3. Act as compliance representative for assigned new business initiatives and special projects, providing compliance guidance to project teams in coordination with the RBG Compliance Manager.
4. Assist with development, revision and review of policies, procedures, disclosures, training materials and other communications to help ensure compliance. Work with RBG management, staff and other groups to ensure understanding and implementation of changes needed to comply.
5. Help analyze new and existing processes and products following the Compliance program framework (risk assessment, documentation and evaluation of controls) to determine the effectiveness of RBG’s compliance with regulatory requirements, internal policies and best practices. Propose and help implement solutions for gaps identified.
6. Assist with fulfilling requests for information during audits, regulatory examinations, and other reviews which may affect RBG.
9. Liaise with other risk and compliance groups.
10. Collaborate with other Bank units to analyze and investigate issues and identify and implement solutions.
• 7-10 years retail banking compliance with proven analytical skills. Relevant regulatory examination/audit experience will also be considered. • In-depth compliance knowledge of consumer and small business-related banking products and services, cross-sell activities with affiliates, and related regulations including Non-Deposit Investment Products • High-performing professional with ability to work effectively, efficiently and accurately with minimal supervision • Excellent oral, written, interpersonal and analytical skills • Ability to work collaboratively or as a sole contributor • Skilled at balancing and completing a high volume of priorities and deliverables • Microsoft Office, Excel and PowerPoint skills
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