- Participate in the development, implementation and maintenance of a compliance testing or advisory program to address compliance risk. Involves assessing compliance risk, determining risk mitigation approach, and making recommendations regarding policies and procedures to ensure compliance.
- Lead and/or independently oversee moderate to highly complex compliance reviews or advisory projects/functions ina comprehensive and timely manner consistent with established compliance methodologies and framework.
- Ensure adequate documentation are maintained for reviews or advisory projects to evidence compliance support.
- Write comprehensive, accurate reports based on the results of monitoring and testing or advisory support performed. Assess and compile results, identify compliance gaps, evaluate compliance risk, and recommend solutions that result in new or enhanced policies and procedures that close compliance gaps.
- Conduct follow-up on previously identified issues to validate issues are adequately resolved.
- Act in a lead capacity to lower level staff. Using subject matter expertise, review other team members' work and provide guidance and feedback as applicable.
- Participate in the development of the annual testing or advisory related activity schedules.
- Assist in preparing management report on testing/advisory support metrics and KRIs.
- Develop junior testing team members to lead and/or independently conduct compliance reviews or advisory projects.
- Develop, implement and maintain compliance department procedures.
- Using subject matter expertise, provides guidance to business partners regarding development of their procedures.
- Review business unit procedures for gaps and assists with closing, if needed.
- Develops job aids as necessary.
- Participate in the preparation of various management information system reports for committee reporting.
- Lead or participate in special projects as directed by the Chief Compliance Officer, Compliance Director, or Compliance Testing Manager. May include acting as project manager by coordinating team member tasks and responsibilities, deadlines, status reports, etc.
- Participate in the annual review of the Compliance Department's Methodology documents and provide suggestions for recalibration, as applicable.
- Participate in necessary education and training events to attain/maintain essential work-related knowledge and information.
- Responsible for maintaining an awareness of regulatory and legislative developments and industry trends through reading, classes, webinars and seminars.
- Develop and deliver training presentations on compliance related topics.
- Coordinate outside training presentations with Bank personnel.
- Provide support to all areas of the department as directed or where service or assistance is needed.
- Serves as a resource for regulatory matters and compliance related initiatives related to building out of the compliance management program.
- Assist in disseminating compliance information to management and staff.
- Provide technical and non-technical support. Non-technical support may include assistance with report writing and proofing. Technical support may include assistance with information gathering.
- Assist with the compilation of information to be provided during the course of internal/external audits and regulatory examinations.
- Other duties as assigned.
- 5-7 years of regulatory compliance experience required in consumer financial services field, or at a regulatory agency.
- Certified Regulatory Compliance Manager (CRCM) certification preferred or willingness to earn after three years in role.
-
Sr Compliance Officer
4 days ago
Pacific Premier Irvine, United StatesThe Senior Compliance Officer - Testing is primarily responsible for the independent execution of all assigned responsibilities in support of the Bank's Compliance Management Program by acting in a senior compliance testing role; performs duties as the senior compliance officer; ...
-
Compliance Officer II
1 day ago
Pacific Premier Irvine, United StatesThe Compliance Officer II is primarily responsible for supporting the Bank's Compliance Management Program by acting in a senior compliance officer role in the day to day administrative, advisory, monitoring and testing duties related to the company's lending, deposit and other f ...
-
ISO Compliance Officer
3 weeks ago
HORIBA,Ltd. Irvine, United StatesISO Compliance Officer · The HORIBA Group of worldwide companies provides an extensive array of instruments and systems for applications ranging from automotive R&D, process and environmental monitoring, in-vitro medical diagnostics, semiconductor manufacturing and metrology, to ...
-
Sr Compliance Officer
3 weeks ago
Pacific Premier Bank Irvine, United StatesThe Senior Compliance Officer - Testing is primarily responsible for the independent execution of all assigned responsibilities in support of the Bank's Compliance Management Program by acting in a senior compliance testing role; performs duties as the senior compliance officer; ...
-
ISO Compliance Officer
4 days ago
HORIBA,Ltd. Irvine, United StatesISO Compliance Officer · The HORIBA Group of worldwide companies provides an extensive array of instruments and systems for applications ranging from automotive R&D, process and environmental monitoring, in-vitro medical diagnostics, semiconductor manufacturing and metrology, to ...
-
Compliance Officer
1 week ago
Bank Irvine Irvine, United StatesJob Summary: · **Responsibilities**: · - Develop and implement compliance policies and procedures to ensure adherence to applicable laws and regulations · - Conduct regular audits and assessments to identify areas of non-compliance and develop corrective action plans · - Monitor ...
-
Compliance Officer
2 weeks ago
Swoop Business Solutions Long Grove, United States**Company:** Swoop Business Solutions · **Website:** · **Position:** Finance Compliance Officer · **About the Job:** · We are seeking an experienced Compliance Officer to join our dynamic team at Swoop Business Solutions. The ideal candidate will have a strong background in fin ...
-
Compliance Officer II
3 weeks ago
Pacific Premier Irvine, United StatesThe Compliance Officer II is primarily responsible for supporting the Bank's Compliance Management Program by acting in a senior compliance officer role in the day to day administrative, advisory, monitoring and testing duties related to the company's lending, deposit and other f ...
-
Sr Compliance Officer
3 weeks ago
Pacific Premier Irvine, United StatesThe Senior Compliance Officer - Testing is primarily responsible for the independent execution of all assigned responsibilities in support of the Bank's Compliance Management Program by acting in a senior compliance testing role; performs duties as the senior compliance officer; ...
-
Compliance Officer Ii
2 weeks ago
Pacific Premier Bank Irvine, United StatesThe Compliance Officer II is primarily responsible for supporting the Bank's Compliance Management Program by acting in a senior compliance officer role in the day to day administrative, advisory, monitoring and testing duties related to the company's lending, deposit and other f ...
-
Fair Lending Compliance Officer
3 weeks ago
New American Funding Tustin, United States Full timeOverview · Position : Fair Lending Compliance Officer · Pay: starting at 185K · Location : US- Remote · Position Summary: · The Fair Lending Compliance Officer will be responsible for managing the Fair Lending Program to ensure the organization is operating in compliance wit ...
-
Compliance Officers
1 week ago
INSPYR Solutions Newport Beach, CA, United StatesTitle: Code of Ethics Compliance Consultant · Duration: 6+ months contract · We are a preeminent leader across fixed income strategies, including registered 40 Act funds, and are expanding our capabilities across a broad range of opportunistic and alternative strategies in the pr ...
-
Deputy, Chief Compliance Officer
3 days ago
Pacific Investment Management Company, LLC Newport Beach, United StatesPIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex deb Compliance Officer, Officer, C ...
-
Deputy, Chief Compliance Officer
3 days ago
PIMCO Newport Beach, United StatesPIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capita ...
-
Compliance Officer I
3 days ago
Metrolink Pomona, United StatesPURPOSE OF POSITIONThe Compliance Officer I will monitor contractor performance to ensure the contractor meets specified standards including Standard Operating Procedures, efficiency testing and training. In addition, this position performs quality assurance measures necessary t ...
-
Officer I, AML Compliance
3 weeks ago
Western Union Santa Ana, United StatesOfficer I, AML Compliance (US/Intl) - Santa Ana, Costa RicaDoes playing a critical role in protecting customers sound exciting to you? How about working for a global fintech company on an advanced team that is passionate about preventing money laundering and other illegal financi ...
-
Officer I, AML Compliance
3 weeks ago
Western Union Santa Ana, United StatesOfficer I, AML Compliance (US/Intl) - Santa Ana, Costa Rica · Does playing a critical role in protecting customers sound exciting to you? How about working for a global fintech company on an advanced team that is passionate about preventing money laundering and other illegal fina ...
-
General Counsel, Chief Compliance Officer
1 week ago
Amada Senior Care San Clemente, United StatesJob Description: General Counsel, Chief Compliance Officer, and Corporate Secretary · REPORTS TO: Ownership Group · SUPERVISES: Paralegal · FLSA STATUS: Exempt · At AMADA Senior Care, we seek to enrich the lives of our clients, their families, our staff, and the communities we s ...
-
Compliance Officer I
1 week ago
Metrolink Claremont, United StatesPURPOSE OF POSITION The Compliance Officer I will monitor contractor performance to ensure the contractor meets specified standards including Standard Operating Procedures, efficiency testing and training. In addition, this position performs quality assurance measures necessary t ...
-
Amada Senior Care San Clemente, United StatesJob Description: General Counsel, Chief Compliance Officer, and Corporate Secretary · REPORTS TO: Ownership Group · SUPERVISES: Paralegal · FLSA STATUS: Exempt · At AMADA Senior Care, we seek to enrich the lives of our clients, their families, our staff, and the communities we s ...
Compliance Officer II - Irvine, United States - Pacific Premier Bank
Description
The Compliance Officer II is primarily responsible for supporting the Bank's Compliance Management Program by acting in a senior compliance officer role in the day to day administrative, advisory, monitoring and testing duties related to the company's lending, deposit and other functions to help ensure Bank activities are in compliance with applicable state and federal regulatory requirements.
Act in a lead capacity to other junior level staff by providing guidance and training. Nature of work is moderate to highly complex.RESPONSIBILITIES
QUALIFICATIONS
A reasonable, good faith estimate of the minimum and maximum base salary or pay for this position is $93,570 to $140,355.
A discretionary bonus and/or business line incentive may be provided, in addition to a medical and other benefits, dependent on the position.
For more information regarding our benefits, please visit#LI-Onsite
#LI-FG1
Compliance Officer II professionals in Irvine
-
John Kemp
Director Technology
-
Ami Gandhi
Applications Support | Applications Analyst
-
Josh Miller
Executive Level Leader and Industrial Engineer