Senior Compliance Officer

About the Opportunity

Our client is one of the largest banks in the country, offering a variety of financial services to the U.S., Puerto Rico, and the Caribbean.  They are looking for a Senior Compliance Officer to join their team in New York City. The right candidate will support the consumer regulatory compliance functions for the company, including the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, branches, and operating departments.

The base pay range for this position is $65 to $80 per hour. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer.


Job Responsibilities

  • Participate in and contribute to the execution of the company’s Compliance Program, ensuring alignment with Corporate compliance and strategic direction and recommend policy and/or actions based on internal and external industry developments for area of responsibility
  • Serve as a compliance resource and SME (subject matter expert) to business units, internal team members, and management providing a range of support and analysis on regulatory compliance requirements, issues, and/or best practices, including the provision of guidance in the design, development and/or enhancement of processes and controls to manage compliance risks
  • Serve as the subject matter expert for the company on all lending compliance related matters, including consumer lending, mortgage, and commercial lending
  • Perform regulatory research in response to business unit compliance inquiries. Assist/support the business units on the implementation of new and amended laws and regulations
  • Identify and professionally escalate matters requiring management attention
  • Advise and consult on proposed new products, services, and initiatives regarding compliance obligations and corresponding compliance risks, and mitigating controls
  • Provide support with regulatory compliance examinations, and/or compliance audits or reviews
  • Review marketing materials, disclosures, and other customer communications subject to consumer protection regulations for compliance
  • Support the issue management process for the compliance department and support the complaint management process, including the responses to consumer complaints received from regulators
  • Advise and support the business lines in the establishment and execution of action plans to address compliance deficiencies, findings, and/or recommendations of examiners, internal audits, and self-identified issues
  • Provide support to management in the execution of the annual compliance training program, including drafting training materials and conducting training as needed
  • Perform other duties as assigned


Job Requirements

  • Bachelor’s Degree in Finance/Banking/Accounting or related field is required
  • Minimum 7 – 10 years performing relevant regulatory compliance functions in the banking industry, and in-depth knowledge of both deposit and lending products and applicable laws and regulations, included but not limited to Reg. DD, Reg. E, Reg. CC, ECOA, RESPA, TILA, HMDA, & FCRA
  • Prior experience working with regulatory agencies, including FRB, OCC, FDIC, or CFPB
  • Bi-lingual candidate, English-Spanish speaking, a plus including the ability to speak, read, and write Spanish at a collegiate level including the use of business terms
  • CRCM designation or JD is preferred
  • Ability to analyze complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends
  • Proficient in Microsoft Office applications necessary to complete assigned tasks and projects
  • Travel on occasion will be required

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