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Become A Bank Compliance Officer

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Working As A Bank Compliance Officer

  • $92,000

    Average Salary

What Does A Bank Compliance Officer Do At Deutsche Bank

* Working closely with lines of business, Risk Management and others Compliance officer to further develop a robust Compliance Framework for the newly established IHC, DB USA.
* Knowledge of FRB SR 08
* expectations and Reg YY, Enhanced Prudential Standards, needed to assist first lines of defense and other second lines of defense divisions in evaluating policies and procedures needed to improve their business and infrastructure models to meet the requirements of managing compliance risk.
* A deep understanding of key banking regulations that impact DB USA such as Regulations D, O, R,W, Y and YY and Consumer Banking rules across Deposit and Lending platforms of a large investment bank will be needed to assist business/infrastructure groups in improving the current models addressing compliance risk.
* Supporting Compliance’s lead role in the continuing advancement of the IHC’s policy and “ managing compliance risk” frameworks, including;
* Reviewing and revising, as necessary, all compliance policies (inclusive of certain securities based policies) consistent with the compliance framework and compliance risk appetite of DB USA; and
* Performing quality assurance of compliance-related procedures and controls created by businesses and infrastructure groups;
* Supporting Compliance’s lead role in governance of compliance with Regulation W (affiliate transaction restrictions), Investment Restriction rules, among other cross-business FRB focused rules which apply to DB USA;
* Promoting consistency of approach to compliance with US banking laws across all Deutsche Bank businesses by interfacing with the business and infrastructure line compliance officers and other subject matter experts;
* Providing subject matter expertise to Training, Testing and Risk Assessment units within Compliance, as well as certain Line Compliance units; and
* Assisting Compliance senior management in providing Deutsche Bank Regional Management with information responsive to regulatory inquiries about compliance-related matters.
* Participating in working groups that will include other control teams such as legal, risk management, and audit and business supervisory functions to ensure coverage is comprehensive and consistent and that issues are appropriately addressed on a timely basis.
* Working with the Compliance testing team, Internal Audit and/or Finance Regulatory Reporting teams to identify emerging risk areas and recommending ad hoc testing as necessary.
* Assisting with presentations for Senior Management, the Chief Risk Officer, Board Committees and Board of Directors for DB USA as well as all regulators (e.g.
* FRB, OCC, CFPB, NYDFS, etc

What Does A Bank Compliance Officer Do At Goldman Sachs & Co.

* The role of the Securities
* Based Lending Compliance Officer is to build and promote a strong compliance program that ensures ongoing compliance with regulations and firm policies governing securities-based lending to clients of the firm and clients of third-party broker dealers.
* The Compliance Officer will work closely with colleagues in GS Bank Compliance and Bank Holding Company Compliance to execute the compliance risk management program as described below.
* Regulatory Compliance:
* Implement controls to ensure compliance with federal regulations and state laws applicable to securities-based lending activity, including Regulation B, Regulation O, Regulation U, Regulation W, Information Privacy, and other relevant regulatory requirements
* Monitor pending federal and state legislation related to lending that is applicable to securities-based lending.
* Communicate status of relevant pending legislation and enacted legislation pertaining to business operations and coordinate the implementation of such legislation with operations, systems and support departments
* Maintain compliance-related policies and procedures
* Work closely with business on complaint management, to ensure appropriate and timely customer response, and accurate and comprehensive management reporting.
* Provide technical regulatory advisory related to securities-based lending
* Provide timely compliance advice to business on the applicability of regulations impacting transactions
* Conduct reviews of disclosure, marketing and presentation materials
* Provide due diligence and monitoring support for external counterparty relationships
* Actively partner with business on all initiatives
* Assess training needs, develop and conduct training on the applicability of compliance laws and regulations
* Track and monitor servicing vendor’s compliance with regulations
* Conduct Quality Control Reviews and Risk Assessments
* Complete special projects as requested by management
* Basic Qualifications
* Minimum
* Bachelor’s Degree
* At least 8 years of prior experience in bank compliance, audit or other control function, or experience as a Bank regulator
* Strong knowledge of banking regulations related to deposit products

What Does A Bank Compliance Officer Do At Citi

* Issues management, governance, oversight,and escalation for both Compliance-owned issues/corrective action plans("CAPs") and Business-owned issues/CAPs.
* Manage the Mandatory Absence reportingrequirements for Global CCB.
* Provide tracking and in depth analysis of Business& Compliance Training.
* Work with team members to compile the MonthlyPartner Advisements Report as well as coordinating the Monthly Dashboard report.
* Coordinate and manage reporting for theCompliance Annual Risk Assessment ("CARA") for CCB.
* Conduct Marketing Reviews for the CCB asneeded in conjunction with regulatory protocols.
* Act as officer for Regulatory ChangeManagement (“RCM”), identifying changes in applicable regulations/requirements,engaging partners to obtain necessary opinions and interpretations ifnecessary, and informing the Subject Matter Expert (SME) and the applicablebusiness area.
* Organize the Regulatory Compliance Matrixand gather needed Legal feedback.
* Maintenance of the CCB Compliance-ownedManager’s Control Assessment ("MCA").
* Coordinate CCB Compliance Monitoringassignments and track completion of monitoring memoranda

What Does A Bank Compliance Officer Do At First Covenant Bank

* Keeping informed of regulatory changes and updates by reading bulletins, circulars, and other pronouncements from CFPB, OCC, Federal Reserve, FDIC, and State Regulatory agencies especially in relation to consumer loans delivered via an online delivery channel.
* Serve as an in-house expert to provide compliance advice and guidance to all Bank staff, addressing consumer lending compliance questions.
* Assist to maintain the Bank s compliance library, utilizing current technology whenever possible.
* Disseminate appropriate regulatory information to affected bank personnel, to include helps and aids to assist in the understanding of the act and locating
* and sharing efficient ways to achieve compliance.
* Recommend modifications to bank policies and procedures to achieve compliance with amended or new regulations.
* Performs or directs monitoring of and testing for compliance in all consumer lending programs delivered via an online channel and reports findings as
* appropriate.
* Assists the Chief Compliance Officer in the management of regulatory compliance examinations to include preparation of internals components for
* examinations, conducting post examination follow up, preparing responses and following up on corrective actions.
* May assist the Chief Compliance Officer and HR in the development of an annual training schedule that covers appropriate topics.
* Training topics will
* provide a complete overview of the compliance function to all employees with more focused topics for areas that deal with compliance issues in their daily job
* function.
* Develop and sustain consumer lending compliance programs by maintaining files, training necessary bank staff, assisting in relevant internal audits and follow-
* up of those audits in the following areas, in particular:
* a.
* Community Reinvestment Act (CRA) Prepare annual CRA statement, self-assessment, and analysis of geographic distribution of lending.
* b.
* Home Mortgage Disclosure Act (HMDA) Periodic review and monitoring of compliance, collection of individual lender HMDA loan application
* registers, annual preparation and submission of HMDA report.
* c.
* Reg.
* Z Truth in Lending Periodic monitoring of compliance.
* d.
* Flood Insurance regulations Monitor compliance.
* e.
* Real Estate Settlement Procedures Act (RESPA) Emphasize disclosure and documentation requirements.
* f.
* Equal Credit Opportunity Act (ECOA) Emphasize retention and review of credit denial notices.
* g.
* Fair Credit Reporting Act
* h.
* Fair Debt Collection Practices Act
* i.
* Credit Practices Rule
* j.
* Right to Financial Privacy Act
* k.
* Bank Secrecy Act (Be familiar with requirements of BSA and assist BSA Officer.)
* l.
* Electronic Funds Transfer Act (Reg.
* E)
* m.
* Advertising regulations
* n.
* Reg.
* AA Credit Practices Rule
* o.
* Fair Housing Act / Fair Housing Regulations
* p.
* State Usury laws
* q.
* Advertising (Q, Z, FDIC)
* r.
* Financial Institutions Regulatory and Interest Rate Control Act
* s.
* Depository Institutions Deregulation and Monetary Control Act
* t.
* FDICIA
* u.
* UDAAP
* Provides Backup to the Chief Compliance Officer and the BSA/AML Officer.
* Performs such other duties as may be assigned or which inherently or logically belong with the position.
* Ideal candidates will possess a Bachelor s degree in related field and two to four years of related experience or a combination of education and experience.
* Experience in BSA/AML and Compliance is a plus, along with experience working with monitoring software.
* Ideal candidates will demonstrate analytical skills, and exemplary written and verbal communication skills.
* BSA AML Certification is a plus.
* First Covenant Bank is an Equal Opportunity Employer of women, minorities, protected veterans and individuals with disabilities

What Does A Bank Compliance Officer Do At Deutsche Bank

* Conduct compliance reviews under the direction of the Americas Head of Compliance Testing and the Head of IHC Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements applicable to IHC implementation and EPS requirements.
* Assist in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing, the Head of IHC Testing and the Head of US Bank Compliance.
* Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance.
* Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations applicable to banking products and services.
* Escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary.
* Prepare and distribute reports to senior management detailing review findings and recommendations.
* Periodically report on significant activities conducted and planned for the upcoming period.
* Review all banking-related reports prior to vetting the report with other stakeholders.
* Ensure that all findings and recommendations are entered into Compliance Testing’s Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution.
* Assist in compliance related matters during examinations by the firm’s regulators and internal auditors.
* Assist the team with various ad hoc projects

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Top Skills for A Bank Compliance Officer

  1. Audit Procedures
  2. Ensure Compliance
  3. AML
You can check out examples of real life uses of top skills on resumes here:
  • Perform second review of all US product and proposition related marketing to ensure compliance with marketing related regulations and risk mitigation.
  • Created a process for identifying and monitoring high BSA/AML risk customers, performed BSA investigations, and completed Suspicious Activity Reports.
  • Assist management with the assignment of Electronic Suspicious Activity referrals submitted by various banking departments to research analysts.
  • Handled all aspects of Bank Secrecy Act compliance for the Bank.
  • Implemented new BSA and USA PATRIOT Act monitoring system, known as Patriot Officer.

Bank Compliance Officer Demographics

Gender

Female

48.4%

Male

40.0%

Unknown

11.6%
Ethnicity

White

64.1%

Hispanic or Latino

15.1%

Black or African American

11.5%

Asian

6.6%

Unknown

2.7%
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Foreign Languages Spoken

Spanish

100.0%

Bank Compliance Officer Education

Schools

Widener University

10.3%

Villanova University

6.9%

American Institute of Baking

6.9%

Florida International University

6.9%

University of New Orleans

6.9%

Michigan State University

6.9%

Benedictine University

6.9%

Lincoln University of Pennsylvania

6.9%

Louisiana State University and A&M College

3.4%

Drake University

3.4%

University of La Verne

3.4%

Regis University

3.4%

Adelphi University

3.4%

College of Hair Design

3.4%

Marymount Manhattan College

3.4%

Florida State College at Jacksonville

3.4%

Marine Corps University

3.4%

Guilford Technical Community College

3.4%

Eastern Illinois University

3.4%

University of Mississippi

3.4%
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Majors

Business

24.7%

Finance

15.7%

Accounting

10.1%

Law

9.0%

Marketing

5.6%

Legal Research And Advanced Professional Studies

4.5%

Psychology

3.4%

Political Science

3.4%

Management

2.2%

Food And Nutrition

2.2%

Biology

2.2%

Taxation

2.2%

Cosmetology

2.2%

Organizational Behavior Studies

2.2%

Communication

2.2%

Criminal Justice

2.2%

Insurance

2.2%

International Business

1.1%

General Education, Specific Areas

1.1%

Intelligence Operations

1.1%
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Degrees

Bachelors

38.0%

Masters

26.9%

Other

21.3%

Doctorate

6.5%

Certificate

1.9%

License

1.9%

Associate

1.9%

Diploma

1.9%
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