Compliance Manager-Quality Control

Location: Cincinnati
Posted on: November 20, 2024

Job Description:

GENERAL FUNCTION: Assists Chief Compliance Officer in advocating and facilitating the development, implementation, communication, and maintenance of corporate-wide Compliance Risk Management (CRM). Responsible for assisting with all facets of the Line of Business compliance program to ensure full compliance with state and federal laws, rules, and regulations (i.e. B, C, D, E, Q, DD, CC, M, U, X, Y, Z, HOEPA, and Predatory Lending). Actively engaged and readily available to work with Executive Line of Business Division Head toaddress compliance matters. Manages Compliance Quality Control Staff.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

.Responsible for developing, strengthening, and implementing the Line of Business compliance program in compliance with existing laws and regulations, including governance, policies and procedures, monitoring, reporting, communications, and education.

.Initiates and facilitates collaborative alliances with Line of Business Risk Manager, Affiliate management, and corporate partners to ensure Line of Business compliance program is adequately managed.

.Assists in the development of strategic CRM goals and tactical and strategic planning systems.

.Communicates significant issues to senior management.

.Serves on various task forces or discussion groups to address compliance related issues.

.Oversees evaluations of Line of Business compliance processes and procedure effectiveness across Affiliates.

.Identifies opportunities, establishes action plans, and drives solutions to continuously improve compliance program, and increase efficiency.

.Liaisons with regulators as appropriate.

.Provides leadership, coaching, and assessment to ensure optimum team and individual performance in support of department, division, and Bancorp goals.

.Builds industry relations through industry networking.

.Maintains a cutting edge awareness of division goals, regulatory and legislative developments, and industry trends.

.Assumes additional responsibilities and leads special projects as assigned.

.Analyzes data by numerous delivery channels, geographic area, product types, facility, and even employee or officer to identify risks and develop and recommend scope or target for the review, corrective action/orperformancegapclosure.Developsandexecutes strategies for closing gaps in performance.

.Assess the adequacy of the business units''/affiliate''s recommended corrective action to the issues or gaps identified.

.Develops and reports findings to Senior Management regarding their business lines (Legal, Audit, and Senior level Operating Committees).

.Works with Sr. Leadership to set strategic direction for department and executes on those goals and objectives.

.Participates and/or leads regular meetings with peers to build and maintain knowledge of current and emerging issues and risk in the environment

SUPERVISORY RESPONSIBILITIES: Manages staffing to ensure optimal performance in meeting the Risk Management Division''s goals and the objectives of contributing to the Bancorp continued success in the Financial ServicesIndustry.Assistsintherecruitingprocess; conducts interviews and provides candid, timely feedback. Ensures proper orientation “ formal and informal" for assigned employees. Identifies challenging work assignments, mentoring and education programs to give employees exposure to proactive problem solving throughout the company. Develops and maintains ongoing two-way timely and clear performance feedback to maintain healthy, proactive work relationships. Encourages open dialogue that promotes creativeandoutof theboxproblemsolving skills. Researches and supports participation in leadership and skills based training for all staff levels. Aggressively prepares all levelsof staff for future.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

.Education: Bachelor''s degree or equivalent work experience required. Computer/Technical: Demonstrates working or functional proficiency sufficient to apply the use of software applications (Micro-Soft Office Suite)withoutassistanceandminimalsupervision..Able to understand and conceptualize basic statistical analysis and theories. With solid experience in manipulating (validating, correcting, reformatting, and transforming) data into more than one format, (e.g.spread

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