Compliance Officer – AVP/VP

Responsibilities/Job Duties: 

• Establish, review, and modify company policies and procedures for compliance with applicable laws and regulations 
• Monitor employee personal trading accounts at the bank.
• Serve as primary contact with external auditors for regulatory compliance examinations 
• Daily surveillance or outside business activity, personal trading accounts and any other relevant investment activity.
• Prepare and present compliance program reports to management.
• Conduct periodic evaluations of compliance framework and determine areas for changes or improvements 

Qualifications: 

• Bachelor’s degree in compliance, audit, legal, or other control-related function in financial services required 
• Five to ten years of relevant experience in compliance, legal, and/or regulatory work 
• Experience in planning, executing, and reporting on compliance testing reviews 
• Extensive knowledge of auditing principles, including audit planning, risk assessments, development of risk and controls, etc. 
• Understanding of compliance laws, rules, and regulations 
• Effective negotiation and interpersonal skills 
• Strong oral and written communication skills 
• Advanced analytical skills and proficiency in Microsoft Office