Candidate Profile #209529

Texas – Dallas/Fort Worth Area – Bank Compliance Officer

• Years of Related Experience: 14
• Minimum Salary: $140K 
• Work Area:  DFW, Texas
• Experience:
  • Certified Anti-Money Laundering Specialist (ACAMS) and licensed attorney.
  • Certified Regulatory Compliance Manager (CRCM).
  • Certified Information Systems Auditor (CISA).
  • Certified Project Manager (PM).
  • Experience in BSA / AML, KYC, HMDA, CRA, Fair Lending, Sarbanes-Oxley, Deposit Regs, and Electronic Banking.
  • Knowledgeable of OCC.
  • Develop, implement, and manage all aspects of the Institution’s wholesale lending compliance risk management program to ensure compliance with U.S. federal laws and regulations.
  • Perform analysis of data and validation of results for compliance-related risk identification and issue escalation.
  • Improve processes, controls, and efficiencies, assess risk when business decisions are made, and safeguard the Institution, its clients, and assets, by driving compliance with applicable laws, rules, and regulations.
  • Serve as a subject matter expert on the Institution’s lending compliance risk reporting framework, standards, and procedures.
  • Assist with the creation of processes, standards, procedures, controls, training, and implementation of transaction management.
  • Ensure that the quality of data, controls, and processes performed meet internal policies, regulatory requirements, and expectations.
  • Appropriately assess compliance risk when business decisions are made, demonstrating consideration for the Organization, its clients, and assets, by driving compliance with applicable laws, rules, and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct, and business practices, and escalating, managing, and reporting control issues with transparency.
  • Assist in external audits and examinations by regulatory bodies, conduit banks, and securitization parties.
  • Assist in the creation of audit work papers for compliance and regulatory audits.
  • Analyze the audit results and determine the impact and risk to the business.
  • Review and analyze the internal controls in place and report on the effectiveness of these controls.
  • Execute compliance reviews, report findings, and make recommendations for risk mitigation, all while coordinating periodic risk assessments in line with regulatory guidelines.
  • Keep abreast of regulatory changes, new regulations, and internal policy changes to further identify new key risk areas.
• Leadership Experience:  Manages 5 employees.
• Education:  Juris Doctorate Degree, Bachelor’s Degree in Psychology.
• Reference #:  209529
• Send Candidate’s Resume:  Click Here