Sr. Compliance Program Manager-California
The Compliance Department is seeking a talented and experienced individual for the position of Compliance Program Analyst to assist with our Compliance Program.
Under the direction of the Chief Compliance Officer, this position will assist with the development, implementation, enhancement, and maintenance of a comprehensive compliance program to promote Company adherence to internal compliance-related procedures and processes and existing, new, or revised statutory and regulatory requirements.
Areas of responsibility will include assistance with the various aspects of a Compliance Program including, but not limited to: complaint program oversight, marketing material reviews, maintenance and management of policies and procedures, developing Board and Management reports and presentations, and compliance training program management. You will support business and compliance operations by providing regulatory guidance and ensuring the enactment of policies and procedures to sufficiently address laws and regulations such as CAN-SPAM, ECOA/Reg B, EFTA/Reg E, FACTA, FCRA/Reg V, GLBA/Reg P, SCRA, TILA/Reg Z, TISA/Reg DD, and others.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.
- Help build a dynamic Compliance Management Program that drives sustainable Bank Compliance success.
- Handle customer complaints related to banking products from all channels. Includes complaint intake and tracking. Ensures timely investigation and response to customer disputes and complaints. Analyze customer feedback and determine root causes of complaints, identify areas for improvement. Responsible for tracking and trending activities for reporting purposes. Maintains and analyzes complaint data to identify and report recurring issues. Detect and escalate any compliance issues in customer complaints. Provide guidance in resolving customer complaints related to compliance matters as necessary. May serve as the lead for the Complaint Working Group.
- Review marketing, advertising, disclosures, website materials, and custom scripts for compliance with applicable state and federal laws and regulations. Ensure advertisements are accurate, transparent, and match the actual terms being offered by the Bank.
- Assist with developing and revising applicable lending, deposit, and compliance policies, procedures, and programs to reflect current regulatory requirements and the Bank’s expectations. Ensure that policies, procedures, and programs comply with applicable regulatory requirements and mitigate the risk of non-compliance. May be responsible for periodic policy, procedure, and program review process.
- Assist with the creation and development of monthly and periodic Board and management reporting and presentations related to the Compliance Management Program including, but not limited to, Compliance Committee packets.
- Assist with oversight of compliance training program including annual assignment of compliance courses in appropriate areas. Will receive reports from the Training Department in order to monitor compliance course completion. Validate compliance training program is comprehensive and appropriate for applicable laws and regulations. May create and deliver compliance-related training.
- Assist in completing Compliance Risk Assessments and Risk Control Self Assessments in accordance with Compliance Department processes.
- Stay current on all applicable federal and state laws and regulations and relevant regulatory guidance.
- Assist with preparation of examination or audit materials as needed.
- Assist with vendor management oversight for compliance-related issues.
- May serve as the owner of special projects as the bank expands.