Corporate Compliance Advisor

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JOB FUNCTION / SUMMARY:

Corporate Compliance Advisor is responsible for assisting the Chief Compliance Officer in managing one or more regulatory compliance programs including but not limited to consumer deposit regulations, non-deposit investment products, insurance products, privacy laws and regulations, and other compliance areas. The Corporate Compliance Advisor is a compliance resource to other departments within the Bank, including but not limited to, Legal, Deposit Services, Product Group, Digital Strategy, Marketing, Fraud and the Emerging Payments area, advising on day-to-day issues, products/strategies, and projects related to deposit accounts, online account opening, digital and electronic payments/transfers, error resolution claims, debit cards, account servicing and processing, disclosure language and presentment, advertising rules, and other areas as needed.

ESSENTIAL DUTIES & RESPONSIBILITIES:

• Ensures that the policies and procedures of assigned lines of businesses comply with applicable laws and regulations.

• Reviews and interprets new and pending laws and regulations which potentially affect the organization’s business practices and communicates changes to impacted areas of the organization.

• Coordinates the development or revision of policies and procedures.

• Conducts transactional testing and prepares written reports on compliance matters.

• Participate in all applicable committees as assigned as a member and/or participant to insure knowledge relative to these activities is communicated to all levels of management.

• Balances regulatory requirements with the best interests of the bank and its clients in determining the best course of action on particular compliance issues.

• Serves as point person for all internal and external audits conducted in connection with these activities.

• Whenever necessary, provide needed support for all disaster recovery plans and related activities.

• Provides first-line compliance guidance and oversight to assigned lines of business.

• Serves as Subject Matter Expert (SME) and advisor to assigned lines of business for regulatory compliance matters.

• Keep current on regulatory issues through online researching of issues, receipt of regulatory publications, emails, notices and participation in banking groups.

• Provide timely recommendations and participation in various meetings, including but not limited to Campfire.  Also provide support to other lines of business (Product Management, Retail, Training, Call Center, Audit, Complaints, other compliance professionals) through researching compliance issues, providing compliance answers related to Bank systems, the development of new products and processes, advise on changes to existing products (in line with Management's goals) and advise on various marketing issues (changes recommended by the Deposit Pricing Committee, complaints, signage, training/resource materials, etc.).

• Complete assigned Compliance reviews as assigned and in accordance with the Compliance Review Schedule. This includes related meetings, testwork, exit meetings, reporting, inclusion in the Compliance system and any related follow up with the line of business on outstanding findings.

• Ensure regulatory compliance through daily oversight, including providing feedback through reviews and approval of all consumer deposit, commercial, Treasury, and Small Business Deposit email CRM advertising either through Workfront or email, submitted by Marketing or the Line of Business within three business days of receipt; participation in Marketing meetings (regularly scheduled and ad-hoc), including participation in Brand Council and review of MCRA reports for possible outstanding consumer marketing pieces. 

• Be a resource to assigned lines of business through advising them of any upcoming/changing regulatory issues related to that line of business including the identification and monitoring of any deposit-related KRI's (key risk indicators).

SUPERVISORY RESPONSIBILITIES:

NONE

MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:

• Bachelor’s Degree required.

• 5 years of experience in a compliance function required,