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Deputy Chief Compliance Officer

Company: Pacific Premier Bank
Location: Irvine
Posted on: April 6, 2021

Job Description:

If you are a job seeker with a disability and require a reasonable accommodation to apply for one of our jobs, you will find the contact information to request the appropriate accommodation by visiting the following page: Corporate 17911
17911 Von Karman Ave
Irvine, CA 92614, USA
Description The Deputy Chief Compliance Officer is responsible for the independent execution of all assigned responsibilities of the Bank's Compliance Management Program; performs duties as the senior compliance advisor and subject matter expert for compliance related projects and tasks; and participates in various committees, audits and examinations. Responsible for developing and updating compliance related policies and procedures, scheduling and tracking employee compliance training, coordinating annual self-assessments, and working with Bank staff to ensure appropriate controls compliance related risks. RESPONSIBILITIES

  • Participates in ensuring Compliance Department activities run smoothly and efficiently by providing leadership, training and supervision. Provides coverage in assigned areas of the department and is required to be fully knowledgeable and skilled in all areas of the department.
  • Works closely with various departments in identifying, defining, and remediating various risk-related issues in attaining established compliance goals as directed by the Board of Directors and senior management.
  • Maintains a Compliance Library for the Bank; ensures materials are current and available for use and reference.
  • Consistently applies superior decision-making techniques pertaining to inquiries, approvals and requests as they apply to existing policies and procedures, keeping within assigned approval limits and using these instances as learning tools for employee development.
  • Makes recommendations to senior management and Bank personnel, on emerging compliance issues; consults and guides the bank in the establishment of controls to mitigate risks.
  • Instills a compliance-oriented corporate culture though out the Bank
  • Builds best practice processes as part of an integrated compliance program.
  • Participates in the development of compliance plans consistent with regulations and regulatory policy generally applicable to US banking institutions and applicable state law.
  • Writes and maintains relevant compliance polices.
  • Oversees the enterprise compliance training.
  • Works closely with the Bank's various departments in identifying, defining and remediating various risk-related issues.
  • Maintains a Compliance Library for the Bank; ensure materials are current and available for use and reference
  • Assist in making preparations for audits or exams; coordinates responses to external auditors and regulatory examiners; ensures deficiencies identified from such audits and examination are corrected
  • Consistently applies superior decision-making techniques pertaining to inquiries, approvals and requests as they apply to existing policies and procedures, keeping within assigned approval limits and using these instances as learning tools for employee development.
  • Makes recommendations to senior management and Bank personnel, on emerging compliance issues; consults and guides the bank in the establishment of controls to mitigate risks.
  • Works closely with the Bank's various departments in identifying, defining, and remediating various risk-related issues.
  • Provides 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 relating to deposit and lending regulations to branches, business units and management.
  • Disseminates compliance information to management and staff.
  • Provides feedback to business units regarding their compliance activities.
  • Regularly collaborates with Bank's internal business partners.
  • Monitor compliance; provide ongoing assessment of compliance risks.
  • Track compliance issues are adequately corrected in a timely manner.
  • Writes and maintains relevant compliance policies and compliance department procedures.
  • Monitor enterprise compliance training program for relevant laws and regulations.
  • Develops and delivers training presentations on compliance related topics.
  • Coordinates outside training presentations with Bank personnel, as needed.
  • Anticipates monitors and prepares for changes in laws and regulations impacting Bank compliance and communicates those changes to the compliance team and appropriate management.
  • Reviews and approves marketing initiatives, campaigns, advertisements and other internal and external published materials created by the business lines and marketing to ensure compliance with associated laws and regulations through marketing software.
  • Ensure completed checklists are uploaded into marketing software.
  • Performs analysis of complaint data received, identifies potential risks and ensures timely, appropriate responses are provided to complainant.
  • Ensures complaints with legal, regulatory or discriminatory implications are escalated appropriately.
  • Approves closure on complaint portal after ensuring adequacy of response and documentation is in portal.
  • Writes and maintains relevant compliance policies and compliance department procedures.
  • Provides guidance to business partners regarding development of their procedures.
  • Reviews business unit procedures for gaps and assists with closing, if needed.
  • Participates in educational 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.
  • Oversight for enterprise compliance training program for relevant laws and regulations.
  • Develops and delivers training presentations on compliance related topics.
  • Coordinates outside training presentations with Bank personnel, as needed.
  • Responsible for supervisory duties such as hiring, firing, coaching, training, performance evaluation, directing/approving work, disciplinary action, handling grievances, etc. QUALIFICATIONS
    • Bachelor's Degree in related field required, or equivalent work experience in the financial services industry required
    • Minimum 10 years of regulatory compliance experience required in consumer financial services field, or at a regulatory agency
    • Minimum 5 years of management experience required as a Compliance Officer at a financial institution with assets of $10 billion or more
    • Experience maintaining effective relationships with regulatory agencies required
    • Direct experience with regulatory compliance examinations
    • Substantive and current knowledge of consumer and commercial lending, deposit and privacy regulations applicable to banks
    • Certified Regulatory Compliance Manager (CRCM) required or willingness to earn within one year Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c) Equal Opportunity Employer - Veterans/Disabled

Keywords: Pacific Premier Bank, Irvine , Deputy Chief Compliance Officer, Executive , Irvine, California

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