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Company Overview

Headquartered in Cincinnati, Ohio, Axcess Financial is a respected leader in the financial services industry that empowers consumers and businesses with financial solutions. Through multiple professional partnerships, we provide a wide range of convenient, approachable financial products and services that improve our customers' financial situations by meeting their lifestyle and budgetary needs.

Our associates have an unparalleled understanding of our customers' and partners' needs, helping us provide superior customer service. With leaders whose backgrounds include Fortune 500 companies within both the financial and retail industries, Axcess Financial combines financial product expertise with a high level of customer service to give customers and businesses professional, convenient financial solutions.


Director, Compliance



Job Description

General Function: This position serves as the Bank Secrecy Act Compliance Officer and is responsible for the development of the infrastructure, managing and training staff and overseeing compliance of this regulatory framework. The position will address and respond to regulatory bodies comments/audits of CNG, develop a working relationship with various regulatory bodies, and coordinate with Internal Audit to develop audit procedures to test for compliance.

Duties & Responsibilities:

  • Oversee response to reports/audits/other requests from regulatory bodies. Establish and maintain relationships with contacts at state regulatory agencies.
  • Oversee and maintain Bank Secrecy Act (“BSA”) Program and procedures as the BSA Compliance Officer.
  • Develop and maintain BSA/Anti-Money Laundering (“AML”) policies and procedures.
  • Identify BSA/AML compliance risks and ensure proper controls, procedures, and training are in place to help mitigate risks.
  • Ensure BSA and USA Patriot Act training is provided for corporate and field personnel in conjunction with the Learning & Development Department.
  • Ensure information flow between departments to facilitate timely filings and responses to suspicious activity and large currency transactions.
  • Serve as point of contact for various regulatory agencies including but not limited to
  • the OCC, IRS, and FDIC during BSA/AML examinations. Oversee CTR and SAR filings and IRS examinations.
  • Participate in annual independent reviews.
  • Ensure compliance with the Foreign Asset Control Act and 314(a) laws and regulations.
  • Oversee development and maintenance of company policy library, and State Information Center matrices and exhibits.
  • Co-ordinate with other internal departments such as Strategic Operations and IT to ensure regulatory requirements are met and communicated; Oversee and coordinate with Internal Audit as needed to develop audit program to test regulatory compliance; review of Internal Audit staff work papers and reports; offer suggestions for enhancement to the current Internal Audit programs.
  • Manage and communicate with Compliance staff on status of projects and responses in process; organize, delegate and control responses and projects, budgets and operations; train staff on a need-to-know basis.
  • Responsible for reporting compliance issues to Senior Management on a regular basis.
  • Special projects, as determined by VP of Legal and Compliance.

Supervisory Responsibilities: Supervises other employees

  • Job titles that are supervised by this position, if applicable:
    • Internal Audit Seniors, Managers and Staff Auditors
Skills Description

Minimum Knowledge, Skills and Abilities Required:
•Post-graduate university Juris Doctorate degree and admitted to BAR
•5-10 years of experience in a legal department or firm
•Strong leadership skills
•Excellent time management and organizational skills
•Proficient PC skills (Word/Excel/Outlook)
•Must be able to recommend hiring decisions, delegate and instruct/train as needed
•Good analytical and research skills

Working Conditions:
1.Normal office environment
2.Extending viewing of computer screens

We are an Equal Opportunity Employer




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