Compliance Manager Jobs

Job Title: Senior Compliance Manager - Wealth Management Banking Company: Bank Of America Location: New York, NY Description: Specific Line of Business Implements and manages compliance programs for GWIM Banking. Exercises judgment and influences business managers and peers to ensure enforcement of compliance programs, balancing business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Corporate Compliance's mission, goals and strategies. Management of two associates. Manages Wealth Management Banking compliance advisor program WMB pre-hire activity Escalation of compliance related issues/questions - from field and partners Provides support to Merrill Lynch RSNIP program Provides compliance support to the distribution of banking products to Wealth Management Provides compliance review of materials unique to WMBs and banking materials to Wealth Management Provides subject matter support to banking component of Branch Exam Program Manages development of Wealth Management Banking policy in coordination with WM policy team Manages/supports WMB FINRA registration structure With staff, responsible for WMB AML structure in coordination with GWIM AML team - includes support of WM bank client AML closure requests Engages with banking/b-d regulators as needed Provides support for WMB compliance reporting - LOBSA, Compliance Program, FINRA 3130 Banking compliance subject matter expertise for ad hoc business and compliance initiatives General Description TO BE USED IN GLOBAL RISK MGMT ONLY - Implements and manages compliance programs for one or more business groups in GWIM. Exercises judgment and influences business managers and peers to ensure enforcement of compliance programs, balancing business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Corporate Compliance's mission, goals and strategies. May manage other associates.

Job Title: Compliance Officer- Paralegal Company: Citi Location: Long Island City, NY Description: Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Additional information may be found at www.citigroup.com or www.citi.com . Citi Inc. and its subsidiaries ("Citi") are equal opportunity employers M/F/D/V and do not discriminate on the basis of any legally protected status or characteristic. Business Overview: AML Strategy & Planning is responsible for AML strategic planning and oversight of key regulatory commitments. This utility partners with and supports the global anti-money laundering program. Description Act as primary paralegal for Global Anti Money Laundering and Compliance Architecture as related to governance in: Global Anti Money Laundering Project Management office Compliance Project Strategy Office Review of existing committee structures Engage industry experts (E&Y, etc.) for best practice Assist in Regulatory Interaction and support effective communication and interaction with regulators and control partners. (OCC, SEC, FINRA, ARR) Monitor the legal and regulatory environment through various methods to provide up-to-date knowledge on the legal and regulatory environment relevant to AML compliance. Act as back-up representation as needed at Global AML at Citi, industry and government meetings and conferences. Maintain corporate minute books for various Citigroup Inc. subsidiaries and subsidiary trusts, as well as update and maintain related corporate information in the Citi Global Entity Management System. College degree and minimum of five years of relevant experience in a financial services environment and corporate activities of the type described above. Strong interpersonal, verbal and written communication skills with ability to interface with all levels of the organization. Proven ability to prioritize and manage multiple projects. Highly responsive and client relationship focused Excellent attention to detail and strong problem-solving abilities to deal with unforeseen events. Experience with the SEC's EDGAR filing system, MS Word, PowerPoint and Excel, and Adobe Acrobat required. Knowledge in the areas of AML and terrorist financing compliance a plus.

Job Title: VP, Mortgage Compliance Officer Company: ACACIA FEDERAL SAVINGS BANK Location: Falls Church, VA Description: Exciting Opportunity with a Growing Mortgage Division This is an exciting opportunity for a qualified mortgage compliance officer to fill a key role and contribute to the successful growth of the mortgage division of a Falls Church, Virginia bank. Primary responsibilities are: Monitor the programs and functional areas of the mortgage division to ensure compliance with laws, regulations, and rules that govern the bank's operations and product offerings. Develop and/or revise policies, procedures, contracts, and agreements to comply with existing laws. Determine need for, develop and conduct compliance training and educational programs. Disseminate information and advise staff regarding new and existing laws and regulations. Prepare responses for regulatory authorities. Requirements and Skills: Bachelor's degree 5+ years of mortgage regulatory compliance experience Thorough knowledge of all mortgage regulations including HMDA, flood insurance and Fair Lending. To Apply: www.unificompanies.com-click on 'careers' UNIFI is an Equal Opportunity Employer Company Profile Acacia Federal Savings Bank (Acacia Federal.com) is a thrift institution which has been operating in the Washington DC Metro area since it opened in March 1985. It is headquartered in Falls Church, VA and is a subsidiary of Acacia Life Insurance Company and UNIFI Mutual Holding Company (unificompanies.com). Learn More About the Company: www.unificompanies.com .

Job Title: Compliance Manager Company: ITAC Solutions Location: Birmingham, AL Description: ITAC Solutions is assisting their client in their search for a Compliance Manager. The Compliance Manager ensures thecompanys' compliance with US laws and regulations through the administration of thecompanys' fair lending program. In addition to taking responsibility for thecompanys' program for ensuring compliance with fair lending laws, the Manager will also assume responsibility for the analysis and reporting of HMDA data and other line of business portfolios. The Manager will also conduct periodic reviews of thecompanys' pricing and underwriting policies. Responsibilities: - Administer the fair lending program for the Bank. - Conduct research on data integrity and ensure correct information is fed into data models. - Coordinate analytics and data with statistical modelers. - Work with lines of business to address fair lending questions as needed. - Maintain fair lending analyses throughout the Bank and recommend actions based on those analyses. - Provide data/research support for regulatory exams. - Analyze reporting results; report results to senior management; recommend and implement remedial actions Requirements: 8+ yrs. banking experience; at least 2 of those yrs. in US bank compliance. BA/BS in Finance, Accounting or IT related discipline. Advanced Degree, professional designation or JD STRONGLY preferred. - Knowledge of operational processes and advanced knowledge of IT & database systems. Ability to identify and define problems; research and analyze information and various situations relating to data management issues. Strong communication (written and oral) and interpersonal skills, with the ability to Please email your resume to Register to View

Job Title: LOB Compliance Manager Company: Fifth Third Bank Location: Cincinnati, OH Description: GENERAL FUNCTION: Assists Chief Compliance Officer in advocating and facilitating the development, implementation, communication, and maintenance of corporate-wide Compliance Risk Management (CRM). Responsible for all facets of the Line of Business compliance program to ensure full compliance with state and federal laws, rules, and regulations (i.e. B, C, D, E, Q, DD, CC, M, U, X, Y, Z, HOEPA, and Predatory Lending). Actively engaged and readily available to work with Executive Line of Business Division Head to address compliance matters. Manages Line of Business compliance staff. ESSENTIAL DUTIES AND RESPONSIBILITIES: PLEASE SEE ACTUAL JOB DESCRIPTION FOR ALL ESSENTIAL DUTIES AND RESPONSIBILITIES * Assists the Chief Compliance Officer with the overall management of the Banks compliance program. * Responsible for developing, strengthening, and implementing the Line of Business compliance program in compliance with existing laws and regulations, including governance, policies and procedures, monitoring, reporting, communications, and education. * Initiates and facilitates collaborative alliances with Line of Business Risk Manager, Affiliate management, and corporate partners to ensure Line of Business compliance program is adequately managed. * Assists in the development of strategic CRM goals and tactical and strategic planning systems. * Communicates significant issues to senior management. * Serves on various task forces or discussion groups to address compliance related issues. * Oversees evaluations of Line of Business compliance processes and procedure effectiveness across Affiliates. * Identifies opportunities, establishes action plans, and drives solutions to continuously improve compliance program, and increase efficiency. * Liaisons with regulators as appropriate. * Partners with the Director of Compliance Communications and Training Department to develop awareness, training, and required continuing education programs as it relates to specific laws and regulations. * Provides leadership, coaching, and assessment to ensure optimum team and individual performance in support of department, division, and Bancorp goals. * Builds industry relations through industry networking. SUPERVISORY RESPONSIBILITIES: Manages staffing to ensure optimal performance in meeting the Risk Management Divisions goals and the objectives of contributing to the Bancorp continued success in the Financial Services Industry. Assists in the recruiting process; conducts interviews and provides candid, timely feedback. Ensures proper orientation formal and informal for assigned employees. Identifies challenging work assignments, mentoring and education programs to give employees exposure to proactive problem solving throughout the company. Develops and maintains ongoing two-way timely and clear performance feedback to maintain healthy, proactive work relationships. Encourages open dialogue that promotes creative and out of the box problem solving skills. Researches and supports participation in leadership and skills based training for all staff levels. Participates in the mentoring program to help staff and senior auditors reach their professional goals. Aggressively prepares all levels of staff for future opportunities. Experience MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED: Education: Bachelor's degree required. An advanced degree is preferred. Certifications: Compliance or Audit certifications are preferred. Experience: 10 years of related work experience within the financial services industry is required. Must have a comprehensive understanding of General Banking compliance regulations and bank policies. Excellent communications, organizational and follow up skills are required. Must have excellent people and relationship building skills. The ability to be proactive in identifying potential concerns and following-up to resolve such issues is essential. Must demonstrate the ability to work independently and meet deadlines. Computer Skills: Proficient in Microsoft office suit software.

Job Title: Compliance Officer II Company: Fifth Third Bank Location: Cincinnati, OH Description: GENERAL FUNCTION: Ensures compliance with significant federal and state legal and regulatory requirements. Provides guidance on complex issues related to state and federal compliance regulations (i.e. Reg B, C, D, E, Q, DD, CC, M, U, X, Y, Z, HOEPA, and Predatory Lending). DUTIES & RESPONSIBILITIES: * Initiates and facilitates collaborative alliances with Affiliate and Line of Business leaders to develop and implement processes to ensure full compliance with federal and state rules and regulations. * Serves as expert compliance resource to Lines of Business. * Establishes and maintains appropriate advisory relationships with operational units. * Assists Line of Business Compliance to implement effective compliance program; provides oversight to the process, as appropriate. * Communicates status of compliance in various areas of the organization to senior management. * Serves on various task forces or discussion groups to address various compliance related issues. * Partners with the Training Department, to develop training and required continuing education programs as it relates to specific laws and regulations. * Partners with the Marketing Department to review brochures, market letters, statement stuffers, advertising and sales literature to ensure compliance. * Identifies weaknesses and makes recommendations to enhance program; assists in implementation where feasible. * Prepares comment letters, position statements, and Bancorp responses to proposed regulatory changes. * Maintains a cutting edge awareness of company goals, regulatory and legislative developments, and industry trends. * Assumes additional responsibilities and leads special projects as assigned. SUPERVISORY RESPONSIBILITIES: None Experience GENERAL FUNCTION: Ensures compliance with significant federal and state legal and regulatory requirements. Provides guidance on complex issues related to state and federal compliance regulations (i.e. Reg B, C, D, E, Q, DD, CC, M, U, X, Y, Z, HOEPA, and Predatory Lending). DUTIES & RESPONSIBILITIES: * Initiates and facilitates collaborative alliances with Affiliate and Line of Business leaders to develop and implement processes to ensure full compliance with federal and state rules and regulations. * Serves as expert compliance resource to Lines of Business. * Establishes and maintains appropriate advisory relationships with operational units. * Assists Line of Business Compliance to implement effective compliance program; provides oversight to the process, as appropriate. * Communicates status of compliance in various areas of the organization to senior management. * Serves on various task forces or discussion groups to address various compliance related issues. * Partners with the Training Department, to develop training and required continuing education programs as it relates to specific laws and regulations. * Partners with the Marketing Department to review brochures, market letters, statement stuffers, advertising and sales literature to ensure compliance. * Identifies weaknesses and makes recommendations to enhance program; assists in implementation where feasible. * Prepares comment letters, position statements, and Bancorp responses to proposed regulatory changes. * Maintains a cutting edge awareness of company goals, regulatory and legislative developments, and industry trends. * Assumes additional responsibilities and leads special projects as assigned. SUPERVISORY RESPONSIBILITIES: None

Job Title: Consumer Finance Group Compliance Manager Company: PricewaterhouseCoopers Location: New York, NY Description: Are you interested in the opportunity to work for an industry-leading company that services Fortune 500 companies, and will give you the experience and exposure you need to build your career? If you are, then PricewaterhouseCoopers (www.pwc.com/us) network of firms is the firm for you. PricewaterhouseCoopers LLP (PwC) is well placed to help clients meet the challenges and opportunities of the US marketplace in the areas of assurance, tax, and advisory. We offer the perspective of a global network of firms combined with detailed knowledge of local, state and US national issues. More than 163,000 people in 151 countries across our network share knowledge, experience and solutions to develop fresh perspectives and deliver practical advice.At PwC, you will be part of a learning culture, where teamwork and collaboration are encouraged, excellence is rewarded, and diversity is respected and valued. We offer a flexible career progression model that allows for a variety of challenging opportunities throughout your career. We provide unparalleled coaching, mentoring, and career development programs; global opportunities; and state of the art technology-driven methodologies to help you provide quality service to our clients.Our Assurance practice collaborates with clients, so that the financial information they report to the investing public and other stakeholders is clear and reliable. When we fulfill our role as Assurance professionals, by standing firm on quality and integrity, we have a direct impact on how well the world's capital market system functions.The highly trained and educated Assurance teams go inside companies, and get to know those businesses. They ask questions, test assumptions, and provide assurance that the companies are reporting information on which investors and others can rely. Every assignment is an exciting opportunity to learn, to grow and to understand how businesses operate from all levels and perspectives. Our Assurance professionals are constantly challenged to learn more in order to provide our clients with the highest quality services. This learning takes place through interaction on the job with colleagues and clients, formal training programs, and the insights provided by mentors and coaches. PwC is all about our people, encouraging high performance and quality. Join us and we will help you implement a successful career strategy, as you explore the many career opportunities in PwC Assurance. Job DescriptionOur U.S. Financial Services (FS) Practice consists of approximately 2,300 assurance professionals, including 223 partners and 650 managers. It spans industry sectors and functional skill areas, including insurance, investment management, capital markets, banking and real estate. We serve many of the world's largest financial institutions. This means that we have insight into the challenges facing the industry. PwC is the leader is serving large, complex financial services institutions. In the U.S., we audit: 18 of the top 50 life insurers, representing 39 percent of admitted assets. 19 of the top 50 property and casualty insurers, representing 44 percent of net premiums written. 11 of the top 25 reinsurers, representing 47 percent of net premiums written. Over 2,900 mutual funds, representing 40% of all mutual funds and 58% of total industry net assets; this includes funds at nine and the advisor and funds at six of the top ten funds families. Two of the top three, three of the top 15, and five of the top 20 US-based commercial banks. Five of the top 20 mortgage servicers, and four of the top 20 mortgage originators. Nine of the top 50 broker-dealers. We are also the thought leader in the financial services industry. We produce almost 150 publications and e-briefings on the financial services industry, most of which are sector specific, as well as a wide range of training and special events on issues that affect reporting and corporate governance throughout the business world. Position/Program RequirementsKnowledge Preferred:Thorough knowledge of Consumer Finance, Banking and/or SEC experience. Knowledge of industry, including origination/acquisition to liquidation, as well as the ability to advise and implement solutions to clientsThorough knowledge of relevant accounting pronouncements for consumer finance assets, quality, financial risk management, controls, operations, compliance and auditing consumer finance companies.Considerable knowledge of mortgage banking secondary markets and capital markets in generalSkills Preferred:Sustained technical expertise, including regulatory compliance, control testing, loan servicing operations, loan repurchases, foreclosures.Demonstrated the ability to interact and manage aspects of client engagments. Direct, review, develop and manager staff to deliver quality professional services to clientsMinimum Years of Experience Necessary:6Minimum Degree(s) and Certification(s) Required:Bachelor Degree in Accounting or business related field CPA is required for attest engagements

Job Title: Sr. Compliance Manager--Mortgage Originations Company: Capital One Location: Plano, TX Description: This Senior Compliance Advisor will focus on compliance for Capital One's Mortgage line of business. Compliance Advisors manage compliance risk throughout Capital One Financial Corporation. Compliance Advisors keep abreast on financial industry laws and regulations and provide regulatory expertise in consulting with a diverse group of business line leaders. Compliance Advisors provide compliance consulting to one or more Business Areas in areas of consumer, non-consumer and commercial compliance relative to their line(s) of business. Compliance Advisors guide, advise, and approve Business Area activities subject to financial services industry laws and regulations. Compliance Advisors work with increasingly higher Business Area executives to establish and communicate a clear view of compliance risks within that Business Area. The Compliance Advisor interacts with and advises the Business Areas on the need for and effective methods of managing compliance risk arising from federal and state laws and regulations, within an enterprise-level risk management framework. Compliance Advisors oversee Corporate Compliance staff as they perform compliance duties and/or provide technical advice to Business Area(s). Compliance Advisors maintain all organizational and professional ethical standards. Compliance Advisors work with general supervision and have some latitude for initiative and independent judgment. Compliance Advisors are beginning to be viewed as a corporate authority in their area(s) of expertise. Responsibilities Include: Inform business leaders of the requirements of law and regulation that they must comply with Advise business leaders on their obligations under the Capital One Compliance Policy Evaluate business initiatives and processes from a compliance perspective (i.e., new ventures, products, systems, marketing initiatives, credit models). Guide Business Area(s) on the application of Compliance requirements (new product or process development, corrective action, change in law or regulatory environment) Guide Business Area(s) on the development and maintenance of processes to deliver on their responsibilities and accountabilities within the Compliance Management Program Influence business leaders to comply with applicable laws and regulations Assess the effectiveness of the Compliance Management Program and provide feedback to Compliance Officers and CMP Administration team Work independently under general supervision, with latitude for initiative and independent judgment. Manage and develop associates in support of their compliance work and professional career Manages external compliance consultants, as applicable Performs other related work as assigned by a Compliance Vice President, the Deputy Chief Compliance Officer or the Chief Compliance Officer. Basic Qualifications: Bachelor's degree with 5 years of full-time experience in consumer compliance, legal, audit or finance OR high school diploma and 7 years of full-time experience in compliance, legal, audit or finance Preferred Qualifications: 8-10 years of consumer compliance experience in a large banking institution with a focus on mortgage Excellent communication skills and ability to influence and guide others Strong relationship building skills Strong problem solving skills Certified Regulatory Compliance Manager Certified Information Privacy Professional Proficient in Microsoft Excel and PowerPoint At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

Job Title: Banking Compliance Officer Company: United Community Bank Location: Gonzales, LA Description: COMPLIANCE OFFICER Officer level position at a $200 million community financial institution. Position answers to Chief Compliance Officer, will be responsible for BSA & daily compliance functions. Candidate must have in-depth knowledge, extensive experience, & broad understanding of the regulatory environment. Excellent benefits & competitive salary. Qualified individuals may send Resume with cover letter to: Register to View or fax to Register to View .

Job Title: Trust Compliance Officer Company: Loring, Wolcott & Coolidge Location: Boston, MA Description: The Loring, Wolcott & Coolidge Office is a professional, independent trust office. The Office offers a wide range of highly personalized fiduciary services. We maintain long-standing relationships with our clients by being responsive to their needs. Our office has grown with the families we serve and we now manage approximately four billion dollars in assets. In addition to its traditional fiduciary and investment management services, the firm has developed specialized services for socially responsible investors. For more information on the Loring, Wolcott & Coolidge office, please visit our website atwww.lwcotrust.com. The Trust Compliance Officer will develop, implement, and administer all aspects of the Trust Company's Compliance Management Program. Primarily, the position is involved with the trust and custody-related compliance activities of the Trust Company. Responsibilities Collaborate with General Counsel in the overall administration of directives. Participate in internal, external, and regulatory audits and examinations. Advise the Trust Company's Board of Managers, Senior Management and personnel of emerging compliance issues. Consult and guide Trust Company management in the establishment of controls to mitigate risks. Prepare and maintain regulatory rules matrix. Prepare annual compliance risk assessment and Bank Secrecy Act risk assessment. Create and conduct staff training related to existing and emerging compliance issues, laws, and regulations. Assist General Counsel in the development of critical Trust Company-wide policies and procedures. Execute compliance testing as part of the Trust Company's compliance program. Perform and/or direct compliance monitoring as part of the Trust Company's compliance program. Participate in various Trust Company committees, special projects and initiatives. Qualifications Bachelor degree required. CRCM, CBA, CIA and/or other professional certifications that demonstrate expertise in compliance, risk management and audit. Excellent knowledge of applicable New Hampshire and federal rules and regulations with evidence of ongoing continuous education and training. 5+ years recent experience with increasing complexity in compliance and risk management within a banking or trust company environment is required. Work experience in fiduciary, trust, custody and investment matters is preferred. Familiarity with different types of financial services technology and software. Skills Ability to deliver prompt, clear answers that managers and staff can act upon with confidence. Strong personal relations skills and ability to partner with managers and staff to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations. Excellent ability to manage confrontational issues and to build good working relationships in a friendly, team environment. Proven ability to handle multiple priorities simultaneously. Excellent analytical, research and drafting skills. Outstanding oral and written communication as well as presentation skills. Ability to effectively communicate with all levels of the organization. Strong business understanding and leadership/team skills. Ability to mentor and provide guidance to employees at all levels. Strong sense of integrity and ethical leadership. Ability to handle confidential information professionally and with appropriate discretion. Partner with Trust Company management and clearly articulate directives. Reporting This new position will report to the Audit Committee. This position is exempt and may require flexibility in hours from time to time with little or no advance notice. Qualified candidates should send a cover letter and resume to: Attn: Human Resources Loring, Wolcott & Coolidge Office 230 Congress Street Boston, MA 02110-2437 Email to: Register to View No phone calls, please. No agencies. EOE We appreciate your interest in Loring, Wolcott & Coolidge.