Compliance Director (Banking) jobs in Santa Ana, CA

Compliance Director (Banking) manages operations to identify and respond to suspicious activity violating current anti-money laundering (AML) regulations as defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Implements oversight systems, interdiction software, and audit processes to perform daily transaction monitoring and identify suspicious activity patterns. Being a Compliance Director (Banking) monitors activity and ensures adherence to Know your Customer (KYC) protocols and regulatory requirements for required filings and reporting. Leads investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Additionally, Compliance Director (Banking) maintains extensive knowledge of financial regulations, risk management best practices, and changing fraudulent trends to develop and implement appropriate compliance procedures. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a director. The Compliance Director (Banking) typically manages through subordinate managers and professionals in larger groups of moderate complexity. Provides input to strategic decisions that affect the functional area of responsibility. May give input into developing the budget. To be a Compliance Director (Banking) typically requires 3+ years of managerial experience. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. (Copyright 2024 Salary.com)

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Director, Ethics, Risks & Compliance
  • Dendreon Corporation
  • Seal Beach, CA OTHER
  • Overview

    Who we are.

    Dendreon is making the battle against cancer personal. Our flagship product PROVENGE® (sipuleucel-T), was the first FDA approved immunotherapy for the treatment of metastatic castrate resistant prostate cancer and is made from the patient's own immune cells.

     

    If you are looking to positively impact the lives of patients, we want you to join our team. We have Immunotherapy Manufacturing Facilities located in Seal Beal, CA and Union City, GA. A sizeable Research & Development group based out of Seattle, WA, and a highly skilled Commercial team countrywide.

     

    Core Values:

    • Put Patients First. Every day is a new opportunity to improve the lives of patients living with cancer.
    • Act with Integrity. Be honest, transparent, and committed to doing what’s right in every situation.
    • Build Trust. Building trust takes time. Engage teammates, be candid and transparent. Over communicate and seek feedback.
    • Raise the Bar. Harness continuous improvement, foster innovation and elevate our people.
    • Drive Results. Be accountable and execute – we win together when everyone performs.

    Your Role:  

    The Director, Ethics, Risk & Compliance (ERC)-will be responsible to identify, assess, and support effective management of risks presented by Integrated Marketing strategies for assigned marketing domain areas across all US therapeutic areas (TAs) and products to ensure execution of strategies is in compliance with applicable NPC policies, procedures, and requirements. The ERC will clearly identify, assess, and articulate risks as part of early concept discussions for novel and complex marketing strategies (e.g., omnichannel engagement, use of dynamic content, social media) and recommend effective risk management when they are implemented. The ideal candidate is passionate about both enabling compliant marketing strategies and ensuring ERC guidance to Integrated Marketing teams is clear and actionable.

    Responsibilities

    Your Work:

    • Provide specialized ERC advice to marketing domains with high and/or emerging risks (e.g. omnichannel engagement, use of dynamic content, social media) to assess risk in early concept discussions, discuss risk with business owners to achieve an aligned understanding, provide clear and actionable ERC advice on how to effectively mitigate such risks upon implementation, evaluate effectiveness of risk mitigation and document key milestones throughout the process.
    • Effectively engage with Integrated Marketing leadership teams for assigned domains to ensure they have a holistic view of ERC risks presented in their strategies (key watch areas,what’s going well, etc.) and collaborate to implement strategies to address key or emerging risks.
    • Proactively monitor evolving US healthcare environment, enforcement trends and compliance programs of other pharmaceutical, biotech and medical device companies related to assigned marketing domains to identify and share insights with the integrated marketing teams.
    • Be a knowledge expert related to Big Pharma and biotech healthcare compliance policies, procedures, and CIA requirements and how they apply to associates’ roles and responsibilities throughout of the US organization.
    • Proactively engage with Ops/Analytics teams supporting assigned Integrated Marketing teams to evaluate data to identify trends and proactively mitigate key and/or emerging risks.
    • Develop trusted relationships with associates of all levels in Integrated Marketing teams to promote a SpeakUp culture and collaborate with Integrated Marketing teams to strengthen a positive culture towards compliance and ethical decision making as an integral part of how we reimagine medicine for patients.
    • Engage with Medical/ regulatory leadership and related cross-functional leaders to ensure a holistic view of risks across the strategies leveraged for assigned therapeutic area(s) (key watch areas, what’s going well, etc.) and ensure clear and actional ERC guidance is provided or seamless transition to the appropriate ERC.

    Qualifications

    Education Requirements:

    • Bachelor’s degree required; Master’s degree preferred.  

    Job Requirements:

    • 8 years in pharmaceutical, medical device or biotech companies
    • 7 years of experience with consulting, compliance, or legal counseling within highly regulated industry
    • 5 years of experience in a Marketing function

    Working Conditions and Physical Requirements:

    • Ability to sit or stand for extended periods of time. 
    • Finger dexterity sufficient to use a computer and to complete paperwork activities.
    • Vision sufficient to use a computer, to read written materials and to complete paperwork activities.
    • Hearing sufficient to communicate with individuals by telephone and in person.
    • May be required to work alternate shifts.
    • Job is performed in an office environment.
  • 6 Days Ago

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Banking Relationship Specialist
  • Farmers and Merchants Bank of Long Beach
  • Santa Ana, CA FULL_TIME
  • Job SummaryThe Banking Relationship Specialist is our first customer contact and one of the key people to set the tone of service and sales at the branch level. They will maintain a professional image...
  • 2 Days Ago

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Banking Relationship Specialist
  • Farmers and Merchants Bank of Long Beach
  • Seal Beach, CA FULL_TIME
  • Job SummaryThe Banking Relationship Specialist is our first customer contact and one of the key people to set the tone of service and sales at the branch level. They will maintain a professional image...
  • 1 Month Ago

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Digital Banking Manager
  • Farmers and Merchants Bank of Long Beach
  • Seal Beach, CA FULL_TIME
  • Job SummaryThe Digital Banking Manager is responsible with assisting in the development and management of products for the Digital Channels. This position will manage the integration of products and s...
  • 1 Month Ago

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Compliance Manager
  • FUJIFILM Irvine Scientific
  • Santa Ana, CA FULL_TIME
  • We are hiring a Compliance Manager. The Compliance Manager will be responsible for dealing with compliance matters, domestic and international, for FUJIFILM Irvine Scientific, Inc. both independently ...
  • 18 Days Ago

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Compliance Specialist
  • MemorialCare Select Health Plan
  • Fountain Valley, CA FULL_TIME
  • Compliance Specialist - (MEM007894) Description Title: Compliance Specialist Location: Fountain Valley, CA Department: Hospital Administration Status: Full-Time Shift: Days (8hr) Pay Range*: $27.26/hr...
  • 28 Days Ago

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0 Compliance Director (Banking) jobs found in Santa Ana, CA area

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Risk Management & Compliance Director
  • HR Pals
  • Whittier, CA
  • Job Overview The Director of Risk Management & Compliance will be responsible for ensuring The Whole Child (TWC) adheres...
  • 4/26/2024 12:00:00 AM

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Regulatory Compliance Officer
  • Larson Maddox
  • Irvine, CA
  • Our client is actively seeking a motivated Compliance Officer to join our dynamic team located in Irvine, CA. This pivot...
  • 4/26/2024 12:00:00 AM

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Regulatory Compliance Officer
  • Finfare Inc.
  • Irvine, CA
  • About Finfare Finfare is dedicated to empowering SMBs, by providing the ultimate expense management solution for growing...
  • 4/26/2024 12:00:00 AM

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Regulatory Compliance Officer
  • Larson Maddox
  • Irvine, CA
  • Our client is actively seeking a motivated Compliance Officer to join our dynamic team located in Irvine, CA. This pivot...
  • 4/25/2024 12:00:00 AM

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Director, Regulatory Compliance
  • Proponent Inc
  • Brea, CA
  • Job Description Job Description Summary The Director of Regulatory Compliance manages and leads all activities related t...
  • 4/24/2024 12:00:00 AM

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Director, Legal Compliance
  • Anduril Industries
  • Costa Mesa, CA
  • Andurils Legal Team seeks a Compliance Director with a focus on the full spectrum of cUAS, AI, and robotics regulatory i...
  • 4/24/2024 12:00:00 AM

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Affordable Housing Compliance Director
  • Solari Enterprises, Inc.
  • Orange, CA
  • Job Description Job Description Join Our Team Today—We Are Growing! Position Overview: Solari Enterprises, Inc. is curre...
  • 4/24/2024 12:00:00 AM

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Accreditation & Compliance Director
  • Los Angeles Film School
  • Los Angeles, CA
  • Job Description Job Description Purpose: The Accreditation and Compliance Director provides accreditation guidance for a...
  • 4/22/2024 12:00:00 AM

Santa Ana /ˌsæntə ˈænə/ (Spanish for "Saint Anne") is the county seat and second most populous city in Orange County, California in the Los Angeles metropolitan area. The United States Census Bureau estimated its 2011 population at 329,427, making Santa Ana the 57th most-populous city in the United States. Santa Ana is in Southern California, adjacent to the Santa Ana River, about 10 miles (16 km) from the coast. Founded in 1869, the city is part of the Greater Los Angeles Area, the second largest metropolitan area in the United States, with almost 18 million residents in 2010. Santa Ana is a ...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Director (Banking) jobs
$126,552 to $181,562
Santa Ana, California area prices
were up 2.5% from a year ago

Compliance Director (Banking) in Lake Charles, LA
Finally, another benefit of obtaining a compliance officer certification is that regulatory compliance certifications can be utilized for career advancement.  Certifications are often a requirement for certain job postings, help to bring in a higher salary, and put a candidate above the competition.
December 23, 2019
Compliance Director (Banking) in Johnstown, PA
Be first to read the latest tech news, Industry Leader's Insights, and CIO interviews of medium and large enterprises exclusively from Banking CIO Outlook.
December 07, 2019
Compliance Director (Banking) in Gulfport, MS
That turnover is largely a function of the way the role has evolved within the changing regulatory environment, said Cynthia Dow, a Russell Reynolds consultant who leads its legal, regulatory and compliance officers practice.
January 20, 2020