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Title MANAGER OF COMPLIANCE
Categories Banking Operations
76,000 – 94,000
2013-09-30
LAKE SUCCESS

RESPONSIBILITIES:

Assist Senior Management with overall management and review of the Compliance Program ensuring the Banking Operations Department adheres to all Bank, federal and state policy guidelines and procedures.  Consult with business units on strategic compliance and develop strategy to reduce potential compliance exposure. Manage and conduct reviews (“audits”) to assess and determine compliance/risk for the Department.  Ensure sufficient testing is performed, supporting documentation is on file for reference, issues are identified and corrected, and reviews are consistent across departments. Oversee the execution of the compliance/review program to ensure integrity, accuracy, and timeliness. Ensure development of and adherence to departmental policies and procedures.  Work with various business lines in the development of new products, procedures, and policies.  Assist in tracking of business unit progress and completion of necessary regulatory corrective measures. Conduct subsequent testing to confirm the effectiveness of corrective measures.  Monitor and review regulatory and legislative changes providing a response to changes. Ensure compliance with all regulations, policies and procedures.  Assist with Special projects and perform additional accountabilities as required.

 

QUALIFICATIONS:     

  • 3 – 5 years Regulatory Compliance strongly preferred
  • Management/supervisory experienced preferred
  • Bachelor’s degree preferred
  • Through knowledge of department/division compliance laws and regulations including but not limited to Regulations E, D, CC, DD, GG, ACH, OFAC, Privacy, Fact Act-Identity Theft with ability to identify how they apply to the Bank 
  • Excellent analytical, research, and communication (verbal, written) skills
  • Strong planning, organizational, and follow-up skills
  • Strong leadership skills and decision-making ability
  • Ability to interact with all levels of management in an advisory role
  • Thorough working knowledge of Excel and Word
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