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    Sr. Compliance Specialist - Pasadena, United States - First Foundation Inc.

    First Foundation Inc.
    First Foundation Inc. Pasadena, United States

    2 weeks ago

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    Description

    Summary:

    This position is responsible for overseeing the adherence of the Bank's policies and procedures to federal and state laws and regulations.


    Salary Range:

    The salary range in CA for this role is $71,600/yr to $101,600/yr and represents the Company's good faith minimum and maximum range for this role at the time of posting.

    The actual compensation offered to a candidate may vary outside of this range depending on a number of factors, including a candidate's qualifications, skills, competencies, experience, and location.

    The budgeted salary range is $71,600/yr to $93,502/yr.

    The Company also offers a full range of benefits, including medical, dental, vision, and 401K match. Other rewards may include annual performance-based bonuses and wellness days.


    Duties and Responsibilities:

    • Understands and complies with requirements of all laws and regulations applicable to the position
    • Consult with and advise managers affected by compliance issues and regulatory requirements
    • Manage bank acquisition due diligence projects
    • Educate and update others within the Bank on compliance-related changes and/or activities
    • Analyze audit and test results to determine the root cause of deficiencies
    • Research complex regulatory scenarios and assist management with resolving issues and/or implementing controls to mitigate risk
    • Examine Bank policies, procedures, and practices to ensure compliance with laws and regulations
    • Stay abreast of changes to federal and state banking laws and regulations affecting the management, operations, and product offerings of the Bank
    • Monitor and evaluate pending legislative and regulatory changes related to the Bank's lending and retail operations
    • Prepare and update, as necessary, Bank policies and procedures to conform to regulatory and legislative requirements.
    • Coordinate and support the Bank's compliance-related programs, such as compliance training, compliance testing, and reporting
    • Arrange and perform periodic compliance reviews and prepare reports of findings
    • Review various disclosures and provide feedback to applicable business units
    • Coordinate the investigation and response to regulatory complaints
    • Disseminate information regarding new or amended regulations to appropriate personnel
    • Review and evaluate new Bank services, forms, and products for compliance with applicable law
    • Review and approve the Bank's advertising for compliance with applicable law
    • Coordinate and assist during compliance examinations by regulatory agencies and third-party compliance vendors. Follows up and resolves any cited deficiencies reported during the course of the examination or violations and deficiencies noted in the final report
    • Provide day-to-day interaction and support to management
    • Participate in recurring meetings and provide updates/minutes to the Chief Compliance Officer
    • Attend seminars, workshops, and conferences, as assigned, to maintain and expand knowledge of compliance requirements
    • Perform other duties as assigned

    Qualifications:
    To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions.


    Education and/or Experience:

    • Bachelor's degree or work experience equivalent
    • Minimum of 7 to 10 years of related experience required

    Skills:

    • Ability to read, accurately interpret, and communicate in an understandable format federal and state regulatory requirements
    • Strong oral and written communication skills
    • Ability to prioritize and follow up
    • Strong analytical and research skills
    • Organizational and time management proficiencies

    Physical Demands:

    The physical demands 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 essential functions.


    While performing the duties of this job, the employee is regularly required to sit for long periods of time; use hands to operate controls on the computer; reach with hands and arms for phone and computer work; to communicate on the phone while wearing a headset for extended periods.

    The employee frequently is required to walk. The employee is occasionally required to stand; climb or balance, and stoop, kneel, crouch, or crawl.

    The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds.

    Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, and the ability to adjust focus.


    First Foundation is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, protected veteran status, status as a qualified individual with a disability, sexual orientation, gender identity, or any other characteristic protected by law.

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