Compliance Officer – Regulatory

AcctPositions Published: January 30, 2020
New York, NY
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The right candidate will support the consumer regulatory compliance functions and support the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, branches, and operating departments.


  • Participate in & contribute to the execution of the Banks Compliance Programs, ensuring alignment with Corporate compliance and strategic direction and recommend policy and/or action based on internal and external industry developments for area of responsibility.
  • Serve as a resource to business units, internal team members, and management providing a range of support and analysis on regulatory compliance requirements, issues, and/or best practices, including the provision of guidance in the design, development and/or enhancement of processes and controls to manage compliance risks.
  • Perform regulatory research in response to business unit compliance inquiries. Assist/support the business units on the implementation of new and amended laws and regulations.
  • Identify and professionally escalate matters requiring management attention.
  • Advise and consult on proposed new products, services, and initiatives regarding compliance obligations and corresponding compliance risks, and mitigating controls.
  • Provide support with regulatory compliance examinations, and/or compliance audits or reviews.
  • Review marketing materials, disclosures, and other customer communications subject to consumer protection regulations for compliance.
  • Manage the complaint process for the compliance department, including the responses to consumer complaints received from regulators.


  • Bachelors Degree in Finance/Banking/Accounting or related field is required.
  • CRCM designation or JD is preferred.
  • Minimum 7 - 10 years performing relevant regulatory compliance functions in the banking industry, and in-depth knowledge of deposit and lending products and applicable laws and regulations, included but not limited to Reg. DD, Reg. E, Reg. CC, ECOA, RESPA, TILA, HMDA, & FCRA.
  • Prior experience working with regulatory agencies, including FRB, OCC, FDIC, or CFPB. • Ability to analyze complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends.
  • Bi-lingual candidate/English-Spanish speaking preferred, including the ability to speak, read, and write Spanish at a collegiate level including the use of business terms.
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