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VP Compliance Officer

Santa Ana, CA

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nnJob DescriptionnResponsible for serving as the lead compliance resource or Subject Matter Expert (SME) for deposit/operations related regulatory compliance.  Monitors and manages enterprise compliance risks associated with deposit products and services, including risk identification, assessment and management of the control environment, and ongoing monitoring of key risk and performance indicators.  Performs all duties in accordance with the Bank’s policies and procedures, and applicable U.S. State and Federal laws and regulations wherein the company operates.ESSENTIAL DUTIES AND RESPONSIBILITIES:1. Responsible for working closely with assigned business lines and stakeholders in the development and maintenance of a first line of defense monitoring program for assigned business lines.  This includes the following:Identify and map key regulatory risks with mitigating controls;Perform ongoing monitoring of key risk and performance indicators for early identification of control gaps and heightened risk areas;Coordinate with stakeholders to address control gaps in heightened risk areas by providing guidance in the development and implementation of control processes and procedures;Monitor outstanding controls gaps and collaborate with stakeholders to ensure that identified gaps are remediated in a proactive and timely manner;Provide periodic reporting to executive and senior management on the compliance risk profile for Deposit/Operations related areas/function.2. Responsible for completing compliance risk assessments in accordance with the established risk assessment methodology and in collaboration with the assigned business lines.  This includes the following:Identify material risks associated with the business units activities, products, and services;Assess material risks and threats on an ongoing basis by performing periodic compliance risk assessments;Prepare a risk assessment report that quantifies risk exposure to business line management and the second line and management level committee(s).3. Responsible for identifying training needs and requirements for the assigned business lines.  Tracking online training to ensure completion by all employees, and assessing additional targeted training needs through monitoring, risk assessments, and issues management.  Responsible for working with business units to develop and deliver additional role specific training from a risk based approach.4. Responsible for the review and assessment of new/changed product and services, and marketing/advertising materials to ensure compliance with applicable laws/regulations.5. Responsible for the development, review, and updates of policies, standards, procedures and other governance documents of applicable business units and risk subject matter areas.6. Responsible for monitoring new legal and regulatory requirements applicable to the assigned lines of business.  This includes:Communicating changes across the lines of business, to which assigned;Overseeing new legal or regulatory guidance implementation, where applicable; andMaintaining ongoing compliance with legal requirements.7. Stays abreast of regulatory and risk environment for the identification of emerging risks.8. Treat people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; accepts responsibility for own actions.9. Demonstrates knowledge of and adherence to EEO policy; shows respect and sensitivity for cultural differences; educates others on the value of diversity; promotes working environment free of harassment of any type; builds a diverse workforce and supports affirmative action.10. Follows policies and procedures; completes tasks correctly and on time; supports the company’s goals and values.11. Performs the position safely, without endangering the health or safety to themselves or others and will be expected to report potentially unsafe conditions. The employee shall comply with occupational safety and health standards and all rules, regulations and orders issued pursuant to the OSHA Act of 1970, which are applicable to one’s own actions and conduct.12. Performs other duties and projects as assigned.QualificationsESSENTIAL KNOWLEDGE, SKILLS, AND ABILITIES:Demonstrates knowledge of, adherence to, monitoring and responsibility for compliance with state and federal regulations and laws as they pertain to this position including but not limited to the following: Regulation DD (Truth in Savings Act), Regulation E (Electronic Funds Transfer Act); Regulation CC (Expedited Funds Availability Act), Reserve Requirements (Regulation D), Regulation Z (Truth in Lending Act), Regulation B (Equal Credit Opportunity Act), Fair Housing Act (FHA), Home Mortgage Disclosure Act (HMDA), Real Estate Settlement Procedures Act (RESPA), Fair Credit Reporting Act (FCRA),  Right to Financial Privacy Act (RFPA, state and federal) and Community Reinvestment Act (CRA).Intermediate skills in computer terminal and personal computer operation; Microsoft Office applications including but not limited to: Word, Excel, PowerPoint and Outlook.Intermediate math skills; calculate interest and percentages; balance accounts; add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals; locate routine mathematical errors; compute rate, ratio and percent, including the drafting and interpretation of bar graphs.Effective organizational and time management skills.Exceptional oral, written and interpersonal communication skills.Ability to make decisions that have moderate impact on the immediate work unit and cross functional departments.Ability to organize and prioritize work schedules on a short-term and long-term basis.Ability to provide consultation and expert advice to management.Ability to make informal and formal presentations, inside and outside the organization; speaking before assigned team or other groups as needed.Ability to deal with complex difficult problems involving multiple facets and variables in non-standardized situations.Ability to work with little to no supervision while performing duties.EDUCATION, EXPERIENCE AND/OR LICENSES:Bachelor’s Degree from an accredited college or university in related field; or equivalent work experience.Ten (10) years relevant industry work experience.Experience in the banking and/or financial services industry.Certified Regulatory Compliance Manager (CRCM) designation preferred.

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