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Compliance Officer

Credit One Bank • Las Vegas, NV

Posted 11 days ago

Job Snapshot

Full-Time
Banking - Financial Services
Banking

Job Description



Position Summary

The Compliance Officer will be responsible for assisting in the implementation of the Bank's Compliance Program, designed to ensure that the Bank is in compliance with various consumer laws and regulations.



Summary of Essential Job Functions

    • Maintains an advanced knowledge of laws, regulations, and regulatory guidance related to the Bank's activities and products.
    • Conducts monitoring reviews covering the above laws and regulations, provides written reports of findings and recommendations to department heads and executive management, and follows up to ensure corrective action has been taken on exceptions noted.
    • Conducts testing of system functionality prior to or post implementation to ensure regulatory requirements are met.
    • Provides consultative services to all departments relative to consumer compliance matters and maintains a strong working relationship with all departments.
    • Reviews new or revised ABA Frontline Compliance courses to determine applicability to Bank employees and makes recommendations on courses that should be taken by Bank employees and the frequency they should be taken.
    • Assists the Compliance Vice President with preparing quarterly Board reports covering Compliance Department activities.
    • Assists with the coordination of OCC regulatory compliance exams and external compliance audits. Provides guidance to the business on developing action plans to resolve any exceptions noted.
    • May review marketing material (solicitations, disclosures, statement inserts, etc.) and customer disclosure documents (such as Adverse Action Notices) prior to implementation.
    • May develop cardholder agreement language, website and telephone script disclosure language, etc., coordinated through the Compliance Vice President and legal counsel.
    • Analyzes complaint reports received from the Office of the Comptroller of the Currency (OCC) to identify any trends that may indicate compliance related issues.
    • May respond to confidential information requests from governmental agencies in connection with suspected terrorists.
    • May file Suspicious Activity Reports with regulators and prepares report of filings to Executive Management for presentation to the Board of Directors.
    • May review and revise Compliance policies and guidelines provided to various departments as appropriate when regulatory agencies issue new or amended regulations, or to cover new products developed by the Bank.
    • May conduct annual review of Compliance policies and procedures to ensure they are up to date.
    • Assists with the coordination of OCC regulatory compliance exams and external compliance audits. Provides guidance to the business on developing action plans to resolve any exceptions noted.
    • Performs other duties as assigned.






Position Requirements

  • Bachelor's degree or equivalent banking experience
  • A minimum of five years of compliance, audit or regulatory examiner experience or equivalent banking experience with emphasis on regulatory compliance
  • Knowledge of consumer protection laws and regulations
  • Excellent leadership/ project management skills required
  • Strong interpersonal and analytical skills
  • Demonstrated written and verbal communication skills
  • Superior P.C. skills.
Job ID: 1234/1392
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