Compliance Manager

Posting Info

ID name: 33081   State: OH
Added to system: 3/7/17 10:27 AM   Zip Code: 45236
Location: Axcess Financial Services, Compliance Department- FOR0047   Zip Code 2:
Type of opening: Current Open/approved position   Zip Code 3:
District: Cannon, Sherry   # of openings: 1
Company: Axcess Financial   Post job to CareerBuilder:
City: Cincinnati   Job Family: Professional/Knowledge worker


Position Responsibilities 

The Regulatory Compliance team safeguards the organization by ensuring that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet regulatory compliance responsibilities, and manage regulatory compliance risks. Compliance serves as a second line of defense by providing the minimum standards for and independent oversight of business-based regulatory compliance risk management activities. In its oversight role, Compliance works in conjunction with the lines of business (LOBs) and the business groups of which they are a part to help ensure the proper execution of regulatory requirements that business management is primarily responsible for.

The Senior Analyst - Compliance position will part of a team that oversees, coordinates and produces enterprise level reporting and documents for compliance policy, training, ad hoc and general corporate compliance reporting and documents that go to the Compliance Committee, other corporate control disciplines, regulators, senior management and the Board of Directors. The individual will assist with developing, implementing and administering the company’s Compliance Management System in the area of Consumer Lending.

Job Description


The individual will be responsible for assisting with: developing, implementing, monitoring and administering the company’s Compliance Management System in the area of Consumer Lending, which will include elements of BSA/AML oversight. This position will report to the Director of Regulatory Compliance.


Key Responsibilities:

-Assist with the creation / completion of a compliance risk assessment.

-Assist with the creation of the Annual Compliance Plan.

-Assist with preparation for Compliance Committee meetings, including gathering, developing and preparation of KPIs / KRIs

-Oversight of regulatory compliance training, including course selection and tracking of course completion.  Assist in the development of an annual training schedule that covers appropriate topics.

-Assists with Third Party Service Provider oversight.

-Tracking of compliance attestation and monitoring of items submitted to compliance e-mail box and through compliance phone line.

-Keep informed of regulatory changes, updates, and enforcement actions by regulatory agencies especially in relation to consumer loans

-Informs and educates appropriate personnel of all compliance responsibilities.

-Assist with management reporting of all aspects of the Bank’s compliance activities, including an evaluation of its related risk exposure related to compliance.

-Reviews Bank policies and procedures for compliance.  Recommend modifications to policies and procedures to achieve compliance with amended or new regulations.

-Assists management of regulatory compliance examinations to include preparation of internal components for examinations, conducting post examination follow up, preparing responses and following up on corrective actions.

-Assist in the development of monitoring of consumer lending areas (Second line of defense), especially as it relates to APR calculations / disclosures and notification / retention of adverse action notices.

-Responsible for oversight of the following areas:

  • Reg. Z – Truth in Lending
  • Equal Credit Opportunity Act (ECOA)
  • Fair Credit Reporting Act (FCRA)
  • Fair Debt Collection Practices Act
  • Bank Secrecy Act
  • Electronic Funds Transfer Act (Reg. E)
  • Advertising regulations
  • Military Lending Act (MLA) / Servicemember Civil Relief Act (SCRA)


Skills Description

Skills & Knowledge:

Bachelor's degree in Business, Finance or equivalent. Graduate or law degree is helpful.
CRCM certification is desired. Experience in BSA/AML is a plus.
Critically important in this role are strong writing, editing and organizational skills.
Minimum 7+ years of audit/regulatory compliance testing experience in consumer financial services field, or a regulatory agency.
Substantive/current knowledge of the consumer lending regulations.
Strong, effective communication skills (written, verbal, and listening)
Understanding of best practices in the compliance field.
Proven track record of complex problem solving and decision-making ability.
Excellent analytical, project management and interpersonal skills.
Effective leader, who is self-motivated, possesses a strong work ethic and is demonstrated team player.
Possess creativity - think outside the box, innovative or different approaches to a particular task.
Exhibit accountability - personal ownership for actions, decisions.
Possess critical thinking - actively and skillfully conceptualize, apply, analyze and/or evaluate information gathered from, or generated by, observation, experience or communication.
Computer proficiency, specifically MS Office (Word, Excel, Access, PowerPoint, etc.)

Previous Applicants:

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