Compliance Testing Manager

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The Position

Job Title

Compliance Testing Manager

Job Description

The Compliance Testing Manager leads the Compliance Testing team in executing the Bank's Compliance Testing Program. This role ensures testing activities are aligned with regulatory requirements, internal policies, and procedures, and effectively communicates findings to stakeholders. The team conducts independent transaction and control reviews to ensure design effectiveness and compliance. The manager oversees test plan development, team performance, and collaborates with business units to resolve compliance issues.

Major Duties and Responsibilities (Essential Functions) :

• Lead the execution of the annual compliance testing plan which prioritizes and identifies regulations and areas of the Bank to be tested by evaluating compliance risk assessments to determine appropriate scope and methods for testing.
• Demonstrate an understanding of business processes, control frameworks, and related regulatory compliance standards.
• Provide thought leadership and guidance to team members in the design, strategy, and execution of compliance tests to mentor and support professional development.
• Review and approve kick-off decks, testing workpapers and reports to ensure accuracy, completeness, and consistency.
• Facilitate kick-off and exit meeting with business units and process owners.
• Coordinate with Enterprise Compliance contacts and internal stakeholders to address testing findings and remediation efforts.
• Monitor regulatory changes and assess their impact on the testing program.
• Validate closure of prior compliance findings and ensure sustainable remediation.
• Prepare reports appropriate to a senior management audience and / or Enterprise Committee on testing status, outcomes, trends and risk areas.
• Develop and enhance local testing processes by leveraging industry leading practices and regulatory expectations to drive improvements in testing processes.
• Advise on compliance training needs based on testing results and emerging risks.

Additional Duties and Responsibilities :

Employee Specifications :

NOTE : This job description is not intended to be all-inclusive. Employee may perform other related duties as assigned by supervisor to meet the ongoing needs of the organization.

All Locations : Durant-Corporate

If any applicant is unable to complete an application or respond to a job opening because of a disability, please email us at HR@firstunitedbank.com for assistance.

First United is an Equal Opportunity Employer.

To the extent required by Federal or State law, First United does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national origin, or any other characteristic protected by law.