07 October 2021
Bank Compliance Officer

Bank Compliance Officer – Miami. FL
Position Description:
The Bank Compliance Officer is required to have knowledge on government and financial regulations and laws.  The Bank Compliance Officer researches, implements and manages the areas of banking regulation and laws, banking policies and procedures, consumer protection and public interest laws. The position will work closely with C-Level positions at the bank overseeing compliance procedures and advise on overall risk management.
  • Direct the day-to-day operations of the banks’ Compliance Program.
  • Communicate pertinent compliance-related information to all areas of the organization in a timely manner.
  • Serve as an advisor to the Board of Directors, senior management and all other Associates with respect to compliance-related matters.
  • Provide exemplary leadership in promoting the Company’s commitment to compliance and those ethical and compliance values that are reflected in the Compliance Program.
  • Review notices from external authorities indicating the intent to audit or investigate any of the Company’s business affairs or practices.
  • Review the content and performance of the Compliance Program on a continuing basis and take appropriate steps to improve its effectiveness.
  • Establish mechanisms and promote an environment where Associates can report compliance related issues and compliance-related concerns.
  • Review and oversee, either personally or through the coordinated efforts with senior management or outside consultants, the prompt resolution of any alleged violations of the law, rules or regulations, the Code of Conduct or other established Company policies and procedures.
  • Supervise and maintain the integrity of compliance tracking such that reports are appropriately logged, investigated, tracked and resolved in a timely manner; calls can be made on an anonymous basis; and the confidentiality of the information is maintained to the maximum extent possible.
  • Develop and maintain documents related to the on-going operation of the Compliance Program including, but not limited to, the Compliance Plan, the Code of Conduct, policies and procedures and educational materials. 
  • Coordinate revisions to the Compliance Plan or Code of Conduct, as necessary, in response to the changing needs of the Company and changes in the laws, rules and regulations governing the Company.
  • Coordinate the development and implementation of an effective compliance training program that includes, but is not limited to, training of all new Associates, addressing specialized training needs and providing periodic training for existing employees.
  • Facilitate the performance of compliance risk-based assessments and oversee the development and implementation of the Company’s proactive compliance monitoring and auditing program.
  • Maintain a working knowledge of relevant compliance issues, laws and regulations.
  •  Assist in the dissemination of information on banking regulatory and legal developments affecting Company operations.
  • Periodically assess Associates’ knowledge of the Code of Conduct and the operations of the Compliance Program and, where appropriate, recommend revisions to the Compliance Program, Compliance Plan and Code of Conduct.
  • Periodically report to the Board of Directors on the status of all significant compliance issues and the effectiveness of the Compliance Program.
  • Support and participate in the activities of the Company’s Compliance Committee and the effective operation of the Compliance Program.
  • Serve as the Company representative and liaison to coordinate follow-up and resolution of all external notices and internal investigations, reviews and other compliance-related matters.
  • Perform such other compliance functions as may be assigned from time to time by senior management, C-level executives and the Board of Directors.
  • Bachelor’s degree in business or related field. Master’s degree preferred
  • 10 years of related experience and/or training or equivalent combination (education/experience)
  • Minimum five years supervisory experience
  • Effective writing skills for clear development of documents
  • Versed in the analysis of statistics
  • Familiarity with SFAS (Statement of Financial Accounting Standards)
  • Strong project management skills
  • Effective problem solving and critical thinking skills
  • Strong leadership qualities
  • Ability to effectively communicate across multiple levels of an organizationEloquent in communications inside and outside the organization
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