Compliance Supervisor jobs in Tulsa, OK

Description

The Director of Compliance is responsible for developing, implementing, and administering all aspects of the Bank’s Compliance Management System and ensuring it is consistent with the Board’s strategic objectives and risk appetite.

PRINCIPLE DUTIES AND RESPONSIBILITES

1. Assists the Chief Risk Officer to develop and oversee the strategic aspects of the Compliance Program, including implementation of appropriate policies and procedures, third-party oversight processes, monitoring processes, consumer complaint responses, and the consumer compliance training program for the Bank.
2. Responsible for the management and oversight of compliance with applicable laws and regulations.
3. Oversees the execution of the compliance risk assessment for the Compliance Program ensuring appropriate comprehension, identification and management of compliance-related risks.
4. Oversees the compliance change management processes to ensure changes, internal and external, to the bank are responded to in a timely and satisfactory manner.
5. Oversees the compliance monitoring processes to ensure effective self-identification of consumer compliance issues and timely correction of such issues.
6. Oversees third-party risk management processes that include due diligence and ongoing monitoring of third-parties for compliance with applicable laws and regulations, including fintech partner relationships, as necessary.
7. Oversees the consumer complaint program to ensure appropriate and timely responses and oversight of trends and root cause analysis.
8. Provides periodic reports to Executive Leadership and Board Committees on industry trends, state of the Compliance Program (including issues management), key risk and performance indicators, and the status of key initiatives. This includes advising Executive Leadership and the Board on the impact of new laws and regulations on the Bank’s operations and risk profile, as appropriate.
9. Develops and maintains relationships between compliance risk management and line of business leaders to ensure the effective implementation of Compliance Programs across the Bank, while actively promoting a solution-oriented environment throughout the department.
10. Works with line of business compliance managers and officers to identify policy and procedural enhancements, in reference to new, modified or expanded products and services, including proper risk assessments, planning and execution of compliance-related controls.
11. Responsible for regulatory relations, interactions and coordinating responses to the Bank’s primary regulator on compliance-related topics throughout the regulatory examination process.
12. Responsible for overseeing the relationship with the Bank’s internal audit function to ensure appropriate coverage of applicable laws and regulations in the Bank’s internal audit program. Responsible for coordinating requested information and responses to identified compliance issues, including overseeing timely correction of such issues.
13. Maintains an awareness of company goals, regulatory and legislative developments, and industry trends.
14. Performs other duties as assigned by the Chief Risk Officer or Executive Leadership.

Qualifications

EDUCATION AND/OR EXPERIENCE

• Bachelor’s degree, at minimum, required.
• CRCM certification, required.
• 10 years bank compliance experience, required.
• 5 years related experience in financial institutions supporting fintech partner relationships, preferred.

KNOWLEDGE, SKILLS, AND ABILITIES