Senior Compliance Officer

Broadway Bank•San Antonio, TX

About The Position

The Senior Compliance Officer I operates under the direction of the Senior Compliance Manager and Compliance Process Manager. This role is pivotal in ensuring the bank's adherence to applicable laws and regulations. With primary responsibilities including offering compliance advice to business partners, conducting testing and monitoring for regulatory compliance, creating and analyzing compliance-related reports, and reviewing marketing materials, the Senior Compliance Officer I is a compliance generalist with a deep specialization in either deposit or loan compliance. This role tackles complex compliance challenges, oversees significant monitoring activities, and offers mentorship to junior department members.

Requirements

7+ years in bank regulatory compliance, examination, and/or auditing experience.
Bachelor's degree or equivalent professional designation, or status as a commissioned examiner.
Strong ability to collaborate and communicate effectively across all organizational levels.
Excellent verbal and written communication skills.
Capability to work autonomously with minimal supervision.
High level of analytical skills with a focus on accuracy and detail.
Ability to tackle complex compliance issues with strategic solutions.
Experience in creating and delivering comprehensive compliance training programs.
Expertise in preparing and managing regulatory reports and documentation.
Requires the ability to lift, carry, push, pull weights or otherwise move objects weighing as much as 10 lbs. on a regular basis and/or for extended periods of time during the workday.

Nice To Haves

Certified Regulatory Compliance Manager (CRCM) designation or equivalent is highly preferred.

Responsibilities

Acquires and maintains advanced knowledge of banking laws, regulations, and guidelines, specializing in a particular area of compliance. Provides backup support for other Compliance Officers and leads the implementation of regulatory changes.
Offers strategic advice on risk assessment processes and control design to mitigate risks effectively.
Assumes primary responsibility for essential regulatory reporting, including annual Reg O compliance.
Manages and updates the bank's Business Continuity Management documentation and coordinates related activities.
Delivers accurate and comprehensive responses to compliance inquiries from bank staff, aiding in the compliance aspects of new product and service implementation.
Develops and administers a comprehensive compliance training program for all bank personnel.
Plays a key role in the management and enhancement of the bank's web-based compliance management system, including compliance review coordination and direct compliance testing.
Oversees the review and approval of bank marketing materials, ensuring compliance with regulatory requirements.
Collaborates with department specialists to maintain, review, and update compliance policies and procedures, with a focus on loan compliance.
Handles consumer inquiries and complaints related to regulatory compliance, ensuring issues are addressed promptly and effectively.
Facilitates interactions between regulatory personnel/auditors and bank staff, contributing to procedural adjustments based on compliance findings.
This position may require travel within the Bank's geographic area.