Job Description

Job Description

Job Description

Summary:

The SVP, Chief Compliance Officer is responsible for ensuring bank-wide compliance with all state and federal regulatory banking requirements. This role serves as the primary liaison with state and federal regulatory examinations related to safety and soundness, consumer compliance, Community Reinvestment Act and related ongoing regulatory interactions. The position may include other duties as directed by the Manager.

Essential Job Duties & Res ponsibilities (including but not limited to):

Executive Leadership & Strategic Oversight

• Collaborates effectively as part of the Senior Management Team to achieve overall Bank goals.
• Keeps abreast of current and developing rules and regulations, developing timely strategies to manage compliance and capitalize on changes.
• Provides management briefing regarding emerging issues and trends in the Bank’s legal and compliance environment.
• Leads and direct efforts of department staff, including hiring, training and providing ongoing guidance.
• Responsible for maintaining regulatory reporting responsibilities and ensuring timely adherence.

Compliance, Regulatory, & Risk Management

• Facilitates, develop and maintain strong relationships between the Bank and all relevant regulators.
• Oversees the development and implementation of bank-wide compliance strategies, policies, and programs for approval by the President and the Board of Directors.
• Provides timely and appropriate advice on key compliance matters across all business units.
• Protects the Bank’s interests during interactions with regulators.
• Coordinates all regulatory examinations.
• Prepares and signs all Bank responses to examination reports and ongoing supervisory/compliance matters.
• Monitors and ensures compliance with all regulatory commitments and follow-up to findings of examinations and inspections.
• Ensures the timely resolution of customer complaints

Governance & Committee Participation

• Serves as a member of key governance bodies, including the Risk Management Committee, Professional Standards Committee, IT Steering Committee, and others.
• Attends and present periodic updates at Bank Board and Audit Committee meetings.
• Participates as an independent observer on various committees, including all Loan Committees, IT Steering Committee, and the Litigation Committee.

Qualifications (Education, Computer Skills, Certifications, Etc.):

• Strong management skills.
• Industry certifications (CRCM, ACAMS) preferred, or relevant work experience
• Minimum 8 years of relevant experience and 15 years of financial services experience.
• Proven track record in leading compliance function within a major banking group or equivalent experience.
• Knowledge of banking operations, laws and regulations.
• Knowledge of legal, financial and other compliance issues.
• Experience in managing regulatory relationships with FDIC and other regulators.
• Strong analytical and problem-solving skills.
• Ability to anticipate and react quickly to the evolving bank regulatory environment.
• Strong reputation for integrity and ability to balance business partnership with the need to exercise independent judgment and to raise potentially sensitive or contentious issues in a timely and constructive manner.

Benefits options include:

• Medical, dental and vision coverage
• 401K with company match
• 11 paid holidays
• Accrue up to 17 vacation/sick days per year in your first year on a pro rata basis
• Applicant may be eligible for annual discretionary bonus

No relocation assistance provided.

If you are looking to be a part of a winning team and meet the above requirements, we look forward to hearing from you.

Beal Bank, Beal Bank USA, and their affiliates are Equal Opportunity Employers. Beal Bank, Beal Bank USA, and their affiliates do not discriminate against any candidate or employee on the basis of race, national origin, color, genetics, sex, marital status, sexual orientation, gender identity, age, disability, pregnancy, religion or religious affiliation, veteran or service member status, or any other characteristic protected by federal, state or local laws.

All applicants have rights under federal employment laws. To view your rights and government notices on the Family Medical Leave Act (FMLA), the Equal Employment Opportunity (EEO) and the Employee Polygraph Projection Act (EPPA), please see the following Department of Labor links: FMLA EEO EPPA

Notice to California Residents: Beal Bank, Beal Bank USA, Beal Service Corporation, Beal Nevada Service Corporation, CLMG Corp., and CSG Investments, Inc. may collect personal information about you as part of the job application or employment process. Please see the California Privacy Rights Act Policies at CPRA Policy, CPRA Policy | CLMG Corp, CPRA | CSG Investments CPRA Policy | for details.

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