Compliance vice president job description

Reporting to the Director of Compliance Program Management, the Vice President of Compliance Program Management leads a team that assists the BSA/AML Compliance department in the oversight, implementation, and enhancement of the BSA/AML/OFAC Compliance Program. This role works with stakeholders within the Compliance Department and business partners throughout SMBC to enhance the BSA/AML/OFAC Compliance Program, and is a liaison between internal audit, banking regulators and Head Office.

Act as a subject matter advisor to enhance existing compliance policies, procedures, and processes to ensure compliance with U.S. and international AML and sanctions laws and regulations, regulatory guidance and compliance best practices.
Responsibilities
Assist in the coordination of first-line policy and procedure updates to ensure program updates are made by business lines in a timely fashion.
Assist in the development and expansion of Program Office's relationships with first line partners and Head Office.
Assist with the creation and subsequent management of robust and detailed Microsoft Project plans that may include multiple sub-plans and cross-functional dependencies.
Monitor AML and Sanctions regulatory environment for potential changes to the AML and Sanctions Programs.
Assist with the management of the BSA/AML and Sanctions Risk Assessment process and draft reports for BSA/AML Officer and senior management review.
Manage, coordinate, and track regulatory examinations and internal audit reviews end-to-end to ensure third party. reviews are conducted efficiently and Branch senior management is informed of latest developments. Complete third-party risk management duties, as needed.
Assist with the coordination of budget monitoring and reporting for Financial Crimes Function.
Assist with the management of annual staffing needs assessment processes.

Qualifications
Strong communication and presentation skills.
Strong analytical skills to identify, document, present, and report issue.
Knowledge of banking products and services.
Strong relationship-building skills
Extensive experience with, and knowledge of, BSA/AML/OFAC laws, rules and regulations
Strong reasoning ability; understand complex situations, people and systems needs against backdrop of an ever-changing regulatory environment
Maintains high level of confidentiality; unquestionable character, integrity, and professionalism
Project Management Professional (PMP) desired
Demonstrate strong project management or team leadership skills.
Extensive experience with Microsoft Project, Visio, SharePoint and other applications within the Office suite.

In addition to executing BAU work within the GFCII's portfolio, this role may require assignment to the Consortium, formed under the provisions of 314 b of the Patriot act, to work high priority cases in collaboration with member financial institutions.

Specific responsibilities include:

• Play a critical Global Coordination role by continuously engaging with the regional teams to ensure a timely case progression, disposition, escalation, closure and feedback.
• Spearhead strategic initiatives on process restructuring and/or productivity enhancements by engaging with internal and external stakeholders globally.
• Responsible to lead and/or respond to high priority matters involving significant events/negative news initiated by AML Legal, Law Enforcement and Senior Management and above.
• Assist their Team Leads by providing day-to-day supervision, oversight and guidance to their respective group in the absence of, or at the direction of their Team Lead.
• Act as a mentor to more junior team members globally and ensure a consistent understanding of GFCII's policies and procedures and strategic direction.

Qualifications:

• AML Certification 6-10 years prior work experience in a financial institution with job specific work experience in AML
• Consistently demonstrates clear and concise written and verbal communication and interpersonal skills

Education:

• Bachelor's/University degree, Master's degree preferred

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

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Job Family Group:

Compliance and Control

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Job Family:

AML Intelligence

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Time Type:

Full time

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Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi”) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi .

View the " EEO is the Law " poster. View the EEO is the Law Supplement .

View the EEO Policy Statement .

View the Pay Transparency Posting

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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.

• Supports Bank's efforts on all corporate compliance audits and Agency compliance examinations, including advance preparation, coordination of all information gathering between business units during the audit/exam and remediation actions

Requirements

• Bachelor's degree
• 5+ years' in banking/mortgage banking/audit/regulatory compliance
• Experience at loan level documentation review and transaction analysis
• Understanding of all lending compliance regulations to include CRA and Fair Lending
• Understanding of banking regulatory, audit and compliance programs for deposit compliance as it relates to federally regulated banks
• Must be flexible, able to work on multiple projects that may require restructuring due to shifting demands and changing priorities within a multi-billion dollar bank
• Ability to identify and define problems with documentation, loan origination systems, internal processes and procedures; research and analyze information and various situations relating to data management issues
• Must be able to recommend alternatives or solutions
• Microsoft Office

APPLY DIRECTLY FOR CONSIDERATION

Born digital, Axos Bank has reinvented the banking model and grown to over $15 billion in assets since our founding in 2000. With a broad and ever-growing range of financial products, Axos Bank is rated among the top 5 digital banks in the country! Axos Financial is our holding company and publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).

We bring together human insight and digital expertise to anticipate the needs of our customers. Our team members are innovative, technologically sophisticated, and motivated to achieve.

Learn more about working here!

Pre-Employment Drug Test:

All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.

Equal Employment Opportunity:

Axos Bank is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state and local laws.

Job Functions and Work Environment:

While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.

The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.