The Compliance Officer II is primarily responsible for supporting the Bank's Compliance Management Program by acting in a senior compliance officer role in the day to day administrative, advisory, monitoring and testing duties related to the company's lending, deposit and other functions to help ensure Bank activities are in compliance with applicable state and federal regulatory requirements. Act in a lead capacity to other junior level staff by providing guidance and training. Nature of work i... more details
The Compliance Officer II is primarily responsible for supporting the Bank's Compliance Management Program by acting in a senior compliance officer role in the day to day administrative, advisory, monitoring and testing duties related to the company's lending, deposit and other functions to help ensure Bank activities are in compliance with applicable state and federal regulatory requirements. Act in a lead capacity to other junior level staff by providing guidance and training. Nature of work is moderate to highly complex.
RESPONSIBILITIES
Participate in the development, implementation and maintenance of a compliance testing or advisory program to address compliance risk. Involves assessing compliance risk, determining risk mitigation approach, and making recommendations regarding policies and procedures to ensure compliance.
Lead and/or independently oversee moderate to highly complex compliance reviews or advisory projects/functions ina comprehensive and timely manner consistent with established compliance methodologies and framework.
Ensure adequate documentation are maintained for reviews or advisory projects to evidence compliance support.
Write comprehensive, accurate reports based on the results of monitoring and testing or advisory support performed. Assess and compile results, identify compliance gaps, evaluate compliance risk, and recommend solutions that result in new or enhanced policies and procedures that close compliance gaps.
Conduct follow-up on previously identified issues to validate issues are adequately resolved.
Act in a lead capacity to lower level staff. Using subject matter expertise, review other team members’ work and provide guidance and feedback as applicable.
Participate in the development of the annual testing or advisory related activity schedules.
Assist in preparing management report on testing/advisory support metrics and KRIs.
Develop junior testing team members to lead and/or independently conduct compliance reviews or advisory projects.
Develop, implement and maintain compliance department procedures.
Using subject matter expertise, provides guidance to business partners regarding development of their procedures.
Review business unit procedures for gaps and assists with closing, if needed.
Develops job aids as necessary.
Participate in the preparation of various management information system reports for committee reporting.
Lead or participate in special projects as directed by the Chief Compliance Officer, Compliance Director, or Compliance Testing Manager. May include acting as project manager by coordinating team member tasks and responsibilities, deadlines, status reports, etc.
Participate in the annual review of the Compliance Department’s Methodology documents and provide suggestions for recalibration, as applicable.
Participate in necessary education and training events to attain/maintain essential work-related knowledge and information.
Responsible for maintaining an awareness of regulatory and legislative developments and industry trends through reading, classes, webinars and seminars.
Develop and deliver training presentations on compliance related topics.
Coordinate outside training presentations with Bank personnel.
Provide support to all areas of the department as directed or where service or assistance is needed.
Serves as a resource for regulatory matters and compliance related initiatives related to building out of the compliance management program.
Assist in disseminating compliance information to management and staff.
Provide technical and non-technical support. Non-technical support may include assistance with report writing and proofing. Technical support may include assistance with information gathering.
Assist with the compilation of information to be provided during the course of internal/external audits and regulatory examinations.
Other duties as assigned.
QUALIFICATIONS
5-7 years of regulatory compliance experience required in consumer financial services field, or at a regulatory agency.
Certified Regulatory Compliance Manager (CRCM) certification preferred or willingness to earn after three years in role.
A reasonable, good faith estimate of the minimum and maximum base salary or pay for this position is $93,570 to $140,355. Actual compensation will vary based on various factors including but not limited to location, experience, and performance. A discretionary bonus and/or business line incentive may be provided, in addition to a medical and other benefits, dependent on the position. For more information regarding our benefits, please visit https://www.ppbi.com/careers.html
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