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A bit about us:

Senior Compliance Officer with regional banking experience need for well-established California bank that has been in operation for over 100 years

Why join us?

  • Leverage the latest Network technologies
  • Strong benefits (M,D,V, and 401k)
  • Profit sharing contribution
  • Flexible work environment
  • Extra paycheck at Christmas

Job Details


Essential Duties

  • Supports the Chief Compliance Officer and the Bank in evolving and strengthening the compliance program in all areas of the program and where support is needed.
  • Monitors federal and state banking laws, regulations and compliance topics to provide support and assistance to the key business stakeholders to assess applicability and impact, so that the Bank can proactively address requirements. Primary areas of support and coverage will include but not limited to corporate safety and soundness requirements related to Regulation O, Regulation W, Regulation H, Regulation Y, Bribery Act and Foreign Corrupt Practices Act,
  • Experience with developing compliance monitoring and testing programs, reporting and tracking remedial actions plans with business units.
Coordinates the creation, review, and implementation of policies and procedures resulting from new laws and regulations and supports the Bank’s policy governance and change management process.
  • Proactively provides advice and guidance to business unit management on key compliance topics related to interpretation of regulations, new or changes to products and services, review of policies and procedures, remedial actions for self-identified issues and/or compliance testing and monitoring, and breach of policy or regulations.
  • Responsible for developing periodic written compliance reports to share with Board, executives and business unit management regarding key compliance issues identified.
  • Work with key stakeholders to identify remediation plans for noncompliance situations and monitoring for completion
  • Stays abreast of changes in banking laws and regulations, industry and regulatory trends, and best practices and keeping peers and business partners informed of relevant information.
  • Reviews customer complaints to assess compliance with federal regulations and laws and conducts root cause analysis.
  • This role is to support management and to enhance the Bank’s compliance management system that aligns to the Bank’s ERM standards and includes risk assessments on key regulations, compliance monitoring and testing, training to business units, marketing and disclosure review, policy and procedure management, complaints program, internal and external reporting, change management, breach management, and exam management.
  • While the job description of this role is the primary function, there may be other compliance areas that may require additional oversight as deemed necessary by the Chief Compliance Officer, and the individual must have experience or capability to learn and obtain the expertise to support the activities required.

Basic Knowledge, Skills and Abilities

  • Strong critical thinking, judgment, analytical, and problem-solving skills
  • Flexible and adaptable to changes in the regulatory environment and requirements of the Bank.
  • Excellent interpersonal skills with strong ability to manage multiple projects in a fast-paced environment
  • Strong working knowledge of compliance regulations and keeping abreast of emerging changes
  • Strong active listening skills and willingness to learn and/or provide advice to foster a strong and cohesive working environment with peers and business units that the team supports
  • Strong team player with an ethical and selfless approach to do what is right for the Bank and team
  • Respectful with opposing opinions and fosters collaborative interaction in a team environment, and willingness to contribute to team efforts
  • Excellent customer service and organizational skills
  • Strong understanding of banking products, services, and structure and strong relationship building skills to liaise with other business units to ensure processes are in line with required compliance requirements and policies

Education and Experience

  • Bachelor’s Degree is required
  • Working experience in a regional banking organization (RBO) is required.
  • 10+ years of compliance experience and familiarity with risk management requirements of an RBO
  • Industry accreditation is preferred, e.g., CRCM.
  • Strong working knowledge of banking products, operations, structure and/or lending practices
  • Extensive knowledge of state and federal banking laws and regulations
  • The ability to work independently, deal professionally and effectively with peers and superiors is essential, and strong written and oral communications skills.
Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds, including but not limited to the Los Angeles Fair Chance Initiative for Hiring and the San Francisco Fair Chance Ordinance.
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