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Compliance Senior Officer

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Dallas, TX

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Job Location:

Dallas, TX


Job #: 12352


Compliance Senior Officer

Job Location: Dallas, Texas - United States

Employment Type:

Salary: $85,000.00 - $140,000.00 - US Dollars - Yearly

Employer Will Recruit From: Nationwide

Relocation Paid?: Yes


Compliance Senior Officer

- The Compliance Officer (Banking or Financial Services Experience Required) manages the client bank compliance with laws and regulations.

- Determines potential risk areas and conducts periodic file reviews in accordance with FFIEC Interagency Examination Procedures.

- Is responsible for compliance management systems for the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Home Mortgage Disclosure Act (HMDA), National Flood Insurance Program, consumer lending, fair lending, deposit compliance and Community Reinvestment Act (CRA) activities.

- Works with Executive Officers to address corrective action taken by management to address compliance deficiencies, including assisting management with implementation of corrective action when necessary and conducting follow-up reviews to determine the adequacy and effectiveness of action taken.

- Handles complex investigations involving advanced knowledge of business situations, customer account transaction patterns, and overall banking environment.

- Evaluates and analyzes information uncovered during investigations and creates a Suspicious Activity Report (SAR) or No-SAR decision based upon analyzed information.



Implements and supervises the banks compliance program, to include the BSA/AML Program (filing SARs and CTRs, maintaining BSA, AML, CIP, EDD, CDD procedures), CRA, HMDA, and deposit regulations. Also, responsible for the development and maintenance of the fair lending policy and program, and any other regulatory compliance responsibilities that may arise.

Assesses new consumer lending and deposit products, services and programs for the bank. Develops the compliance portion of comprehensive risk assessments of products and programs. Participates in the presentation to Risk Management Committee.

Preserves orderly and detailed work papers, assists management with the determination of the cause(s) of violations or exceptions, recommends corrective action, conducts exit meetings with management and drafts reports of compliance findings to senior management.

Conducts investigations with the business line and other staff stemming from system generated and/or external requests; analyze and investigate significant case escalations. Work cooperatively with other institutions or local, state, or federal authorities to investigate suspicious account activity.

Recognizes and manages updates to applicable policies and procedures, including monitoring of current and future deposit and loan compliance, BSA/AML and OFAC regulations and industry trends.

Progresses methodology for determining potential risk areas identifiable through fair lending data analysis and identifies and incorporates all relevant sources of data to ensure a comprehensive analysis of fair lending risk. Manages the banks HMDA reporting and prepares the annual Fair Lending Plan. Performs risk analysis on non-data related fair lending issues using FFIEC examination procedures.

Delivers support and monitoring to various regulations including, but not limited to the SAFE Act, Regulation B, Regulation E, Regulation Z, Regulation CC, and Regulation DD.

Manages or assists in the management of applicable internal and external departmental BSA/AML, OFAC and lending compliance audits and examinations.

Directs the development of training applicable to BSA/AML, OFAC and compliance. Oversees the training and guidance for new employees as they are hired or transfer into the area.


Bachelors Degree in Business or equivalent work experience.

ACAMS certification required, CFE and CRCM Certifications Preferred

Minimum Five or more years of experience with financial institutions regulatory compliance matters and/or fraud, BSA/AML, with at least years experience with consumer compliance and/or program oversight.

Minimum Three years experience with high level investigations, and interacting with senior management in a BSA/AML leadership role.

Cutting-edge knowledge of banking laws and Federal Reserve, OCC and FDIC rules and regulations.

Advanced knowledge of BSA/AML and consumer loan laws and regulations.

Aptitude to collaborate and work well with all bank departments and technology partners

Capacity to prioritize effectively and multitask as necessary.

Preferred knowledge of credit card program compliance.

Expert computer skills, especially Microsoft Office applications and Core Banking platforms.


University - Bachelor`s Degree/3-4 Year Degree

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