Compliance Manager
Essential Functions and Responsibilities :
- Assist the Chief Compliance Officer in the implementation of new regulations and changes to existing lending regulations
- Assist the Chief Compliance Officer in the development and implementation of lending compliance policies and procedures
- Maintain up-to-date lending compliance policies, procedures and disclosures
- Provide compliance-related guidance and support to lending business units, including review of compliance-related departmental procedures
- Oversee internal lending compliance monitoring reviews to ensure adherence to policies and related procedures
- Work with business units to resolve errors or deficiencies identified in internal monitoring reviews and provide additional training, as needed
- Prepare for OCC lending compliance regulatory exams, internal audits and compliance monitoring reviews and risk assessments
- Work with business units to resolve any deficiencies noted in exams, audits, reviews and risk assessments
- Assist the Chief Compliance Officer in the annual Enterprise-wide Compliance Risk Assessment
- Conduct the annual Fair Lending Risk Assessment
- Work with business units to ensure core application, automated loan workflow and documentation systems are, and remain, compliant with existing or new regulations
- Subject Matter Expert for lending compliance related online courses and the related annual training schedule
- Develop and conduct compliance training related to new lending regulations or changes to existing lending regulations
- Assist Chief Compliance Officer in researching and responding to lending related complaints within required timeframe
- Assist the CRA Officer, as needed, with error resolution, preparation for annual LAR data submission, etc.
- Serve as a member of the Management Compliance Committee and CRA Committee
- Work with business units to ensure record retention requirements for loan related documents adhere to regulatory requirements
- Manage lending compliance staff including training, coaching and performance reviews (annual and mid-year)
- Provide coaching and follow-up, as needed, to ensure performance is satisfactory
- Regular and predictable attendance
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