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Banking/Attorney/In House/Buffalo, New York

Buffalo NY Deputy Compliance Officer - Deposit Products and Operational Support The candidate will be responsible for compliance oversight of deposit products and operational support functions. Subject matter business activities can include: design and implementation of deposit products including checking, savings, IRAs and CDs. Interact with departmental and business unit coordinators, senior and middle management to ensure compliance with state and federal laws and regulations. The position requires an in-depth knowledge and understanding of the laws and regulations applicable to the subject matter, including Reg D, Reg DD, Reg CC and Reg E. May supervise other Centralized Compliance personnel with specific subject matter expertise concerning federal banking laws dedicated to particular business lines. Collaborate with other subject matter Centralized Compliance personnel and with Internal Audit as needed. Assist the Core Bank Compliance Officer in managing and maintaining the process of identifying and risk ranking laws and regulations applicable to the business activities for which the position is responsible. Use internet and other means to remain current on legal and regulatory requirements and disseminate to the business unit. May include the preparation and/or presentation of regulatory risks/compliance updates to the Core Bank Compliance Officer and /or Chief Compliance Officer and for other project and/or committee related purposes as needed. In collaboration with the Core Bank Compliance Officer, responsible for managing the direct guidance, oversight, support, and subject matter expertise provided to business unit personnel. Manage the performance, maintenance and periodic review and updates of the Bank's risk-based assessment model of regulatory requirements according to inherent regulatory risk. Represents the Centralized Compliance Department at Project Meetings for new products and services and may include attending occasional Senior Level Management meetings. Manage the development, design and documentation of programs, policies and control procedures. Although the principal responsibility for the development of procedures rests with the business line, the Senior Compliance Officer serves as a subject matter expert advisor. Functions also include the review and approval of policies and procedures across multiple business lines to facilitate consistent development and documentation of the same. Provide guidance and support to business unit on the development of specific curriculum and training materials concerning policies and control procedures used within the business line to assure compliance. Oversee the development of a bank-wide curriculum and/or training materials for employees concerning legal and regulatory requirements. Provide guidance and assistance to the Deputy Compliance Testing Officer in the development and review of test plans and testing results. Manage regulatory risk/compliance due diligence process associated with mergers and acquisitions related to subject matter. Perform other related assignments as requested by management and in support of compliance.

The candidate should have Bachelor's degree or the equivalent in work experience. A J.D. degree and 3+ years of experience in employment in a bank or other related institution with consistent exposure to regulatory compliance preferred. Must have 6+ years of experience in compliance related position. Should preferably have 10 years of experience in a related subject matter management function with extensive exposure to regulatory compliance. Experience working with internal partners, middle, senior and executive management as well as external partners desired. Managerial experience in a similar environment is required. Should have understanding of building compliance programs from scratch.
Legal 6 - 0 Full-time 2013-06-13
 
Banking/Attorney/In House/Buffalo, New York
Refer job# FDZI29094
 
Deputy Compliance Officer - Deposit Products and Operational Support The candidate will be responsible for compliance oversight of deposit products and operational support functions. Subject matter business activities can include: design and implementation of deposit products including checking, savings, IRAs and CDs. Interact with departmental and business unit coordinators, senior and middle management to ensure compliance with state and federal laws and regulations. The position requires an in-depth knowledge and understanding of the laws and regulations applicable to the subject matter, including Reg D, Reg DD, Reg CC and Reg E. May supervise other Centralized Compliance personnel with specific subject matter expertise concerning federal banking laws dedicated to particular business lines. Collaborate with other subject matter Centralized Compliance personnel and with Internal Audit as needed. Assist the Core Bank Compliance Officer in managing and maintaining the process of identifying and risk ranking laws and regulations applicable to the business activities for which the position is responsible. Use internet and other means to remain current on legal and regulatory requirements and disseminate to the business unit. May include the preparation and/or presentation of regulatory risks/compliance updates to the Core Bank Compliance Officer and /or Chief Compliance Officer and for other project and/or committee related purposes as needed. In collaboration with the Core Bank Compliance Officer, responsible for managing the direct guidance, oversight, support, and subject matter expertise provided to business unit personnel. Manage the performance, maintenance and periodic review and updates of the Bank's risk-based assessment model of regulatory requirements according to inherent regulatory risk. Represents the Centralized Compliance Department at Project Meetings for new products and services and may include attending occasional Senior Level Management meetings. Manage the development, design and documentation of programs, policies and control procedures. Although the principal responsibility for the development of procedures rests with the business line, the Senior Compliance Officer serves as a subject matter expert advisor. Functions also include the review and approval of policies and procedures across multiple business lines to facilitate consistent development and documentation of the same. Provide guidance and support to business unit on the development of specific curriculum and training materials concerning policies and control procedures used within the business line to assure compliance. Oversee the development of a bank-wide curriculum and/or training materials for employees concerning legal and regulatory requirements. Provide guidance and assistance to the Deputy Compliance Testing Officer in the development and review of test plans and testing results. Manage regulatory risk/compliance due diligence process associated with mergers and acquisitions related to subject matter. Perform other related assignments as requested by management and in support of compliance.

The candidate should have Bachelor's degree or the equivalent in work experience. A J.D. degree and 3+ years of experience in employment in a bank or other related institution with consistent exposure to regulatory compliance preferred. Must have 6+ years of experience in compliance related position. Should preferably have 10 years of experience in a related subject matter management function with extensive exposure to regulatory compliance. Experience working with internal partners, middle, senior and executive management as well as external partners desired. Managerial experience in a similar environment is required. Should have understanding of building compliance programs from scratch.
 
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