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Compliance Manager – To $120K – San Luis Obispo, CA – Job # 3334

Who We Are

The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves!

We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you.

The Position

Our client is seeking to fill a Compliance Manager role in the San Luis Obispo, CA area.  This role will be responsible for performing quality control reviews, including analyzing and reporting on all Bank regulations across all business lines to identify regulatory compliance weaknesses. They will also ensure that the Bank’s products and operations meet all applicable state, federal, and other regulatory requirements.

This position comes with a generous salary of up to $120K and full benefits package. (This position has the possibility of hybrid remote).

Compliance Manager responsibilities include:

  • Manage and support a comprehensive and holistic Compliance Management System (CMS) Program to  ensure the Credit Union complies with all applicable federal and state laws,
  • regulations, supervisory statements of policy, and internally developed controls, policies, and  procedures. This includes but is not limited to: Read, interpret and understand regulations; analyze and  understand Credit Union processes across all lines of business including operations and lending;  interpret policies, procedures, and programs that need to be implemented at the Credit Union and are  compliant with regulations; perform gap analysis to determine if processes can maintain compliance  and recommend policies/procedures to get into compliance.
  • Review changes to Credit Union policies, procedures and other Credit Union materials for compliance  and provides recommendations for necessary changes to the Credit Union or line of business. Author  Credit Union compliance policy documents and procedure in support of the lines of business. Coordinate review and approval of Board level policies.
  • Review forms, disclosures, website, advertisements, and other marketing materials prior to publishing  for compliance with applicable state and federal laws and regulations. Ensure advertisements are  accurate, transparent, and match the actual terms being offered by the Credit Union.
  • Perform regular compliance audits to ensure the effectiveness of implemented compliance controls,  addressing all designated laws and regulations. Work with lines of business to develop control testing  to verify adequacy of compliance related controls, standards, and guidelines. Develop testing reports  for review and analysis with line of business for process improvement.
  • Collaborating with Management, lines of business and internal or external outsourced internal  auditors, develop and maintain an annual internal audit plan that covers compliance, operational,  internal control and technology risks and other key areas of risk by utilizing risk assessments,  compliance testing, past audit findings and industry environment changes.
  • Manage audit engagements, coordinating receipt of requested items from lines of businesses and  uploading documentation to audit firm. Function as intermediary between lines of business and audit  firm as necessary, including arrangement of entrance and exit meetings and delivery of final report  responses.
  • Coordinate and assist state and federal examiners during regulatory examinations regarding  Compliance Program components.
  • Manage the audit findings tracking log, entering new findings, and obtaining initial and ongoing  updates from issue owners. Ensure updates are provided and documented prior to Audit Committee  Meetings. May also manage the DFPI/NCUA exam tracking log for Senior Management.
  • Assist in the development, implementation, and maintenance of annual regulatory and ad-hoc (line of  business, products, and services) risk assessments. Identify and analyze risk categories, maintaining assessment data and risk results in the Credit Union’s Governance Risk and Compliance (GRC) software  solution. Utilizing the GRC solution, clone, customize and/or build new risk templates and assessment  workflows.
  • Serve as a Risk and Compliance systems solution administrator ensuring software updates are  completed timely and train stakeholders and data providers on the use of the system.
  • Analyze risk assessment results and assign risk ratings as appropriate. Identify weaknesses or gaps and  recommend mitigating actions including procedural enhancements, internal controls, or process  changes. Create the appropriate compliance testing program, as needed, commensurate with the  identified levels of risk to ensure ongoing monitoring.
  • Develop and prepare Board, Audit Committee and Senior Management reporting, both within the GRC  solution and manual, regarding compliance testing, risk assessment analysis, internal control reviews  and other GRC activities as identified.
  • Manage an internal control or compliance issue management tracking and resolution process that will  address known issues, per severity and potential impact to the organization. May assist with  investigation and tracking of member complaints made to a regulatory agency.
  • Monitor and analyze developing trends and changes in the regulatory compliance, laws, rules, and  regulations, and advise manager of the operational impact of such trends and changes. Consult with  industry professionals or legal counsel, as necessary. Facilitate implementation of regulatory changes  using a project management approach.
  • As assigned by manager, independently research, advise and counsel staff and management on  regulatory and compliance requirements related to the Credit Union’s operations, as well as serves as a  subject matter expert, as necessary, on compliance-related matters as projects and initiatives are  introduced, implemented, and revised. For projects and initiatives, which result in new compliance  burden or impact, develop, and implement ongoing compliance measures to address new  requirements.

Who Are You?

You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future.

You also bring the following skills and experience:

  • A college degree and five to eight years’ developing, implementing, and  maintaining compliance and risk management programs at a financial institution with consumer and  business deposit accounts as well as consumer, mortgage, and commercial lending
  • In-depth  experience with Fair lending testing. Certified Regulatory Compliance Manager (CRCM), NAFCU  Certified Compliance Officer (NCCO), CUNA Credit Union Compliance Expert (CUCE) or Governance  Risk Compliance Professional (GRCP) certification(s) preferred.
  • In-depth dialogues, conversations and explanations with customers, direct and  indirect reports and outside vendors of a sensitive and/or highly confidential nature is a normal part of  the day-to-day experience. Communications can involve motivating, influencing, educating and/or  advising others on matters of significance.

The next step is yours. Email us your current resume along with the position you are considering to:

resumes@symicorgroup.com

 

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