Compliance Manager

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Compliance Manager
Duties: Perform risk assessments to determine current risk levels and risks associated with the Bank’s products and services, lines of business and SPs, and other factors. Reviews and approves marketing material and customer facing correspondence, and research regulations pertaining to the review. Oversee compliance training completion reports of Bank and/or SP employees; Validate that SP annual compliance training program is comprehensive and is relevant and appropriately covers applicable laws and regulations. Assisting business lines and SPs in developing or revising policies and procedures to reflect current regulatory requirements and the Bank’s expectations. Review, analyze and report to management regarding complaints, disputes, fraud, and other reporting metrics available through the assigned business lines of Loan Program to detect potential compliance concerns. Maintain a comprehensive understanding of the assigned business lines, including Loan Programs, and the SPs CMS and operating environment. Reviews and effectively communicates program changes to management and the Board of Directors. Complete annual regulatory compliance training assignments by their respective due dates. Timely response to customers regarding written disputes and/or complaints. Timely prepare accurate monthly reporting metrics for the Board, Audit and Compliance Committee packets. Stay informed on the regulatory environment and emerging industry trends, regulatory changes, and other relevant laws and statutes. As assigned, attend and participate in off-site training events and SP site visits. Compliance vendor management and due diligence oversight; including vendor contract review, SP corporate governance and vendor onboarding process oversight, vendor compliance risk assessment and regulatory applicability assessment, alignment within the Bank’s CMS. Conduct due diligence and make recommendations pertaining to the on-boarding of new Loan Programs and SPs; including the review and align policies, procedures, internal controls, and other due diligence activities as though those activities are handled within the Bank.

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