Lead complex compliance risk management activities and provide guidance for assigned area of responsibility. Work with senior business line leadership to implement and execute the compliance strategy and advise on prioritization of compliance risks. The Compliance Manager II will implement and execute strategy and management of the workflow and performance of personnel to ensure processes are completed in an accurate and timely manner.
Consult with senior managers of business units and/or CRM senior managers on complex compliance matters.
May assist in oversight of state, federal, domestic and possibly international regulator relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, State of New York, and/or the State of Delaware, as applicable
Evaluate the effectiveness of existing processes and recommend new ones that most effectively anticipate, manage, and reduce risk to the business
Develop and communicate recommendations that support adherence to regulations, industry best practices and/or the CRM program
Maintain subject matter expertise and understanding of the laws, rules and regulations with which the business and/or CRM must comply and an awareness of issues of recent regulatory focus.
Develop and/or deliver training to support employees in fulfilling their compliance responsibilities.
Escalate and measure compliance risk issues to leadership and the lines of business, as well as the 1st and 2nd Lines of Defense, as necessary.
Liaison with CRM departments as appropriate in the execution of CRM program components
Assist in Risk Assessment to identify compliance risk exposure and help the organization prioritize compliance risks.
Assess compliance issues presented through complex new/revised product and service offerings and work closely with senior leaders of business units to plan a response.
Work with senior leaders of business units and/or CRM to design a plan for timely and effective resolution of complex issues identified through monitoring and testing.
May interact with State and Federal Regulatory Agencies, numerous risk and executive management, lines of business, and support organizations such as Internal Audit and Legal on an ongoing and regular basis to ensure the enterprise is operating within the Board-mandated compliance risk tolerance.
Exercise usual authority of a manager concerning staffing, performance appraisals, promotions, salary recommendations, performance management and terminations
'Responsible banking: Fair lending laws and regulation (federal and state); unfair, deceptive and abuse acts and practices (UDAAP), Home Mortgage Disclosure Act, etc.
-Governance: Issues management, examination management, reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training
-WISD: Wealth and investment laws and regulations
-Core banking: Deposit and lending laws and regulations (B, D, E, H, X, Z, etc.) and regulatory guidance (AMPTA, Subprime guidance, etc.)
-Testing and Project Management: All CRM testing functions as well as enterprise testing support to other departments
-Enterprise: Laws and rules that apply across the enterprise, such as privacy rules, FCRA, TCPA, Reg W, the Volcker Rule, Reg O, etc -
-BSA/AML & OFAC: Laws and rules that apply to BSA/AML/Sanctions program including Customer Due Diligence, suspicious activity, OFAC and regulatory reporting.
-Manage Quality Assurance and Investigations Operations with the bank’s Financial Investigations Unit of BSA/AML
Bachelor's Degree in related field.
8 years’ experience in compliance, legal, audit, risk or other relevant function or In lieu of degree, combined minimum 12 years higher education and/or work experience, including 8 years in compliance, legal, audit, risk or other relevant function
Minimum of 4 years managerial or supervisory experience
Demonstrated leadership capabilities. Proficient computer skills (including spreadsheet and word processing software), analytical skills, working knowledge of applicable laws, written and verbal communications w/ all levels.
We encourage candidates with relevant military experience to apply.
At M&T, we strive to be the best place our employees ever work, the best bank our customers ever do business with and the best investment our shareholders ever make. So when looking to advance your career, look to M&T. As a top 20 US bank holding company and one of the best performing regional banks in the country, we offer a wide range of performance based career development opportunities for talented professionals. And through our longstanding tradition of careful, conservative and consistent management and a strong commitment to the communities we serve, we continue to grow with a focus on the future.
Aug 10, 2018, 11:37:09 AM
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