Job Description

Job Summary 
We’re seeking an experienced Compliance Officer to lead and enhance the compliance program for a multi-charter community banking group. This role is responsible for regulatory oversight across all business lines, including policy development, monitoring, reporting, audit/exam coordination, and board presentations. The Compliance Officer will also supervise compliance staff and serve as the institution’s go-to resource on regulatory matters.

Primary responsibilities of this position will be:
Act as subject matter expert overseeing monitoring and testing of the Firm’s regulatory compliance controls
Establish and enhance compliance standards and design and implement improvements to internal control structures
Develop and execute special or enhanced monitoring and testing techniques for new, complex or high-risk requirements, or in response to certain weaknesses discovered through routine assessments, testing, audits or exams
Manage and complete regulatory filings
Review advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules, as applicable, and internal quality control standards
Investigate and resolve compliance-related issues and advise Senior Management and Board on compliance matters
Assess control design and effectiveness to mitigate compliance risk
Manage certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance matters
Serve as a subject matter expert on the implementation and execution of testing regulatory compliance controls
Effectively communicate compliance-related issues requiring management attention
Stay apprised of regulatory matters and developments through reading, research and training through online webinars and conferences and assist with exam preparedness efforts
Collaborate internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communication

Qualifications & Experience:
Bachelor’s degree or equivalent education required; JD from a top-tier institution is preferred but not required
At least 8 years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940
Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management
Preference for previous exposure to, and broad understanding of, the credit asset management business
Strong analytical skills with experience in prioritization, issue identification and resolution
Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines
Skilled in business writing and editing with strong attention to detail
Quick learner who has an ability to grasp complicated financial concepts
Capacity and passion for being part of a fast-growing, multi-office environment
Team oriented with the ability to build relationships and earn the respect of others
Self-starter with the ability to manage projects independently
Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality
Ability to anticipate and react quickly to the evolving financial services regulatory environment
Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents
Enthusiastic about working in office and creating a Gold Standard hybrid work culture

Benefits:
401(k)
401(k) matching
Dental insurance
Employee assistance program
Flexible spending account
Health insurance
Life insurance
Paid time off
Vision insurance

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