VP, Operations Control, CCFG

GENERAL DESCRIPTION OF POSITION

The VP, Operations Control, CCFG ensures that CCFG policies and procedures are in compliance with state and federal laws and regulations, ensures timely reporting and responses to all regulatory Compliance reviews and internal audits and maintains the CCFG control inventories and risk assessments.

ESSENTIAL DUTIES AND RESPONSIBILITIES

1. Champions, formulates and implements procedures as required by regulatory and risk changes. This duty is performed daily, about 25% of the time.
2. Ensures CCFG procedures contain sufficient controls to both mitigate risk and evidence compliance. This duty is performed daily, about 25% of the time.
3. Remains current with regulatory changes that affect the management, operations and product offerings of CCFG. This duty is performed daily, about 25% of the time.
4. Ensures timely reporting of, and responses to, all inquiries and requests posed during reviews and audits. This duty is performed as needed, about 25% of the time.
5. Maintains the Risk Assessments and Control Inventories.
6. The ability to work in a constant state of alertness and in a safe manner. This duty is performed as needed.
7. Completes required BSA/AML training and other compliance training as assigned.
8. Perform any other related duties as required or assigned.

QUALIFICATIONS

To perform this job successfully, an individual must be able to perform each essential duty mentioned satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.

EDUCATION AND EXPERIENCE

Broad knowledge of such fields as accounting, marketing, business administration, finance, etc. Equivalent to a four year college degree, plus 4 years related experience and/or training, and 3 years related management experience, or equivalent combination of education and experience.

COMMUNICATION SKILLS

Ability to read, analyze, and understand common scientific and technical journals, financial reports, and legal documents; Ability to respond to complex or difficult inquiries or complaints from customers, regulatory agencies, or members of the business community.

MATHEMATICAL SKILLS

Ability to work with mathematical concepts such as probability and statistical inference, and fundamentals of plane, algebra, solid geometry and trigonometry.

CRITICAL THINKING SKILLS

Ability to solve practical problems and deal with a variety of known variables in situations where only limited standardization exists. Ability to interpret a variety of instructions furnished in written, oral, or diagram formats.

REQUIRED CERTIFICATES, LICENSES, REGISTRATIONS

Bachelors Degree plus a Minimum of five years of commercial lending and related regulation
Strong regulatory compliance background that includes CRE and C&I lending and commercial deposit operations.
Previous experience planning and managing exams and audits.
Experience identifying risk and creating mitigation plans.
Experience developing and maintaining procedures.

PREFERRED CERTIFICATES, LICENSES, REGISTRATIONS

Experience with CRE lending
|Experience with CFPB, HMDA, Flood, OFAC, KYC/CIP, FinCEN CDD Rule and SOX.
Critical thinking with the ability investigate issues and propose potential solutions to complex problems.

SOFTWARE SKILLS REQUIRED

Advanced: Spreadsheet
Intermediate: Accounting, Presentation/PowerPoint, Word Processing/Typing
Basic: 10-Key, Contact Management, Database

WORKING CONDITIONS

Normal working conditions as found within an office setting, wherein there is controlled temperature and a low noise level, plus a minimum of distractions.

ENVIRONMENTAL CONDITIONS

The following work environment characteristics described here are representative of those an employee encounters while performing essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The noise level in the work environment is usually moderate.

PHYSICAL ACTIVITIES

The following physical activities described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions and expectations.

High diversity, low physical. Work activities which allow for considerable amount of diversity as an incumbent performs a variety of tasks. Such tasks might be performed from a given work area, or the individual may move about physically in performing a variety of duties.

While performing the functions of this job, the employee is regularly required to walk, sit, use hands to finger, handle, or feel, talk or hear; frequently required to stand; and occasionally required to reach with hands and arms, climb or balance. The employee must occasionally lift and/or move up to 10 pounds. Specific vision abilities required by this job include close vision.

ADDITIONAL INFORMATION

Required Education and Experience:

4 to 7 years of experience in compliance at a commercial bank, direct lending platform, investment bank or similar enterprise.
Strong regulatory compliance background that includes both Real Estate finance and commercial deposit operations.
Experience managing examinations and compliance audit responses.
Preferred Education and Experience:
Juris Doctor (JD) or law degree from an accredited university or college, or equivalent regulatory experience.

Required Proficiencies:

Knowledge of current and upcoming regulatory changes and areas of focus.
Ability to design and execute audit testing to identify areas for improvement to line management.
Familiarity with and understanding of the inherent risks in providing financial services.
Exceptional oral and written communication skills.
Ability to develop and maintain an excellent working relationship with the Corporate Compliance department.
Ability to work independently.
Ability to work in a team environment.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)