Assistant Manager overseeing Compliance operations for Southeast Asia - based FinTech company. Engaging in regulatory alignment and policy implementation across several locations.
About the role
- Compliance Senior Advisor assessing regulatory risks and providing compliance guidance for Atlantic Union Bank. Managing compliance risk assessments and collaborating with business units.
Responsibilities
- Engage as Compliance primary point of contact to 1LOD line of business unit, offering advice and guidance on the identification and remediation of regulatory risks and to serve as a credible effective challenge to the 1LOD.
- Schedule, manage, and perform compliance risk assessments to assess performance, risks, internal controls and adherence to regulatory requirements for supported LOBs.
- Interpret, perform, and provide research on compliance and regulatory questions impacting the bank's operations and performance.
- Identify risks, root cause, control weaknesses or gaps through compliance risk assessments and work with LOB management to correct deficiencies.
- Effectively communicate results of compliance risk assessments and related recommendations to 1LOD and 2LOD leadership.
- Review, update and create (when necessary) relevant compliance owned policies and procedures to ensure appropriate Compliance oversight for supported LOBs.
- Provide Compliance oversight of supported LOBs and participate in the development and implementation of new products, processes and initiatives within the 1LOD.
- Participate in the development and review of marketing campaigns and materials to ensure compliance and associated risks with advertising are addressed.
- Escalate and report any potential violations of law or regulations to 2LOD leadership.
- Work with Compliance Manager to maintain, enforce, and strengthen Atlantic Union's Compliance Program.
- Engage with other Compliance teammates and Enterprise Risk Teammates to ensure complete risk identification and remediation plans.
- Stay abreast of changes to federal and state banking laws and regulations affecting product offerings and areas of operations at Atlantic Union; inform management of impacts of changes.
- Assist with research, dissemination and implementation of new and updated regulatory requirements.
- Adhere to all applicable laws and regulations governing bank functions, including compliance with Atlantic Union Compliance Program and associated policies and procedures.
- Assist with development, review, publishing and delivery of compliance related training materials.
- Obtain necessary training to keep current on regulatory compliance and bank functions.
- Assist Compliance Manager with coordination and preparation for Regulatory exam; support 1LOD in meeting deliverables for audits and exams with compliance impacts.
- Review and assess complaints received for supported LOBs.
- Manage/supervise compliance advisory staff.
- Perform oversight review of testing plans, SLAs, and result memos for assigned LOBs for accuracy and completeness.
- Coordinate advisory input to compliance committee materials. Performs other duties as assigned.
Requirements
- Bachelor's Degree preferred
- Five plus years’ industry banking experience to include; lending, deposits, banking operations, and commercial.
- Certification as a Certified Regulatory Compliance Manager (CRCM) required (if not certified at time of hire, must obtain certification within a reasonable timeframe)
- Analytical skills, particularly with trending and reporting
- Demonstrated knowledge of federal and state banking laws and regulations.
- Demonstrated understanding of Compliance Management and Regulatory Best Practices.
- Excellent communication skills, both verbal and written.
- Well organized with attention to detail
- Ability to manage multiple priorities
- Flexible, able to adapt to change
- Superior time management and problem solving skills
- Ability to work independently as well as within a team environment
- Advanced knowledge of Microsoft Office software
- Working knowledge of banking software programs preferred.
Benefits
- General information on our comprehensive benefits package can be found by visiting https://www.atlanticunionbank.com/about/careers/benefits
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