Lewis | James Professional
Chief Compliance Officer (Kansas City, MO)
Lewis | James Professional, Kansas City, Missouri, United States, 64101
Chief Compliance Officer
Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Chief Compliance Officer for a direct hire opportunity with a financial services client.
Responsibilities:
Accountable for creation and maintenance of a comprehensive enterprise risk management program.
Responsible for facilitating annual regulatory risk assessments.
Provides senior management with recommendations based on the results.
Prepares various risk assessments reports for review by management and the Board of Directors.
Develops and maintains Risk Management Compliance and Control Calendar for the Fiduciary and Audit Committee.
Partners with Chairman of the Fiduciary and Audit Committee to prepare quarterly meeting agenda, provide required reports, and prepare minutes of the Audit Committee meeting.
Responsible for compliance with FinCEN, OFAC, AML, and Gram-Leach-Bliley regulations and employee education on relevant provisions.
Identifies the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.
Works with Internal Auditor to ensure adequate testing and reporting of Red Flag rules, customer risk profiles, identification of “high risk” accounts, and risk management of vendor relationships.
Acts as Chair of the Enterprise Risk Management Committee.
Prepares periodic Compliance Officer Reports for the Board of Directors.
Prepares quarterly business review for the OCC.
Provides oversight and monitoring to ensure compliance with regulatory charters, safeguard documents, company bylaws, and articles of incorporation.
Develops the annual compliance work plan that reflects the organization’s unique characteristics.
Develops policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.
Provides oversight and monitoring of the vendor management program, control testing and publication of the SOC-1 report.
Prepares Suspicious Activity Reports as necessary.
Serves as a resource to compliance officers in RIA firms that require documentation of NATC’s systems and processes.
Perform due diligence reviews on new advisor affiliates and Trust Representative Offices (TRO).
Produces and maintains Policy Manuals and related procedures.
Administers physical security, employee code of conduct, data privacy, and insider trading compliance programs.
Serves as vendor manager for CompliancePro and LexisNexis software provider relationships.
Providing guidance, advice, and/or training and educational programs, to improve business’ understanding of related laws and regulatory requirements.
Compliance with BSA/AML/OFAC-related laws and regulations as it applies within the scope of this position, including but not limited to, prompt completion of required BSA/AML/OFAC training.
Qualifications:
Bachelor’s degree is required.
Master’s degree, CPA designation, or law degree is preferred.
Subject matter expert with 7-10 years as a CCO or comparable position and at least 5 years of experience in an OCC regulated bank or trust company.
Proficient in insurance and liability management products and services.
Professional certification, such as advanced BSA/AML training, CFIRS – Certified Fiduciary & Investment Risk Specialist, Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance Professional (CRCP) is regarded as an asset.
Experience as state or OCC trust examiner is desirable.
For immediate consideration, please click “Apply” and use Job Code BHJOB11837_4114. You may also send a copy of your resume to: resumes@lewisjamesprofessional.com and enter only the following job code in the subject line: BHJOB11837_4114. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V
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Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Chief Compliance Officer for a direct hire opportunity with a financial services client.
Responsibilities:
Accountable for creation and maintenance of a comprehensive enterprise risk management program.
Responsible for facilitating annual regulatory risk assessments.
Provides senior management with recommendations based on the results.
Prepares various risk assessments reports for review by management and the Board of Directors.
Develops and maintains Risk Management Compliance and Control Calendar for the Fiduciary and Audit Committee.
Partners with Chairman of the Fiduciary and Audit Committee to prepare quarterly meeting agenda, provide required reports, and prepare minutes of the Audit Committee meeting.
Responsible for compliance with FinCEN, OFAC, AML, and Gram-Leach-Bliley regulations and employee education on relevant provisions.
Identifies the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.
Works with Internal Auditor to ensure adequate testing and reporting of Red Flag rules, customer risk profiles, identification of “high risk” accounts, and risk management of vendor relationships.
Acts as Chair of the Enterprise Risk Management Committee.
Prepares periodic Compliance Officer Reports for the Board of Directors.
Prepares quarterly business review for the OCC.
Provides oversight and monitoring to ensure compliance with regulatory charters, safeguard documents, company bylaws, and articles of incorporation.
Develops the annual compliance work plan that reflects the organization’s unique characteristics.
Develops policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.
Provides oversight and monitoring of the vendor management program, control testing and publication of the SOC-1 report.
Prepares Suspicious Activity Reports as necessary.
Serves as a resource to compliance officers in RIA firms that require documentation of NATC’s systems and processes.
Perform due diligence reviews on new advisor affiliates and Trust Representative Offices (TRO).
Produces and maintains Policy Manuals and related procedures.
Administers physical security, employee code of conduct, data privacy, and insider trading compliance programs.
Serves as vendor manager for CompliancePro and LexisNexis software provider relationships.
Providing guidance, advice, and/or training and educational programs, to improve business’ understanding of related laws and regulatory requirements.
Compliance with BSA/AML/OFAC-related laws and regulations as it applies within the scope of this position, including but not limited to, prompt completion of required BSA/AML/OFAC training.
Qualifications:
Bachelor’s degree is required.
Master’s degree, CPA designation, or law degree is preferred.
Subject matter expert with 7-10 years as a CCO or comparable position and at least 5 years of experience in an OCC regulated bank or trust company.
Proficient in insurance and liability management products and services.
Professional certification, such as advanced BSA/AML training, CFIRS – Certified Fiduciary & Investment Risk Specialist, Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance Professional (CRCP) is regarded as an asset.
Experience as state or OCC trust examiner is desirable.
For immediate consideration, please click “Apply” and use Job Code BHJOB11837_4114. You may also send a copy of your resume to: resumes@lewisjamesprofessional.com and enter only the following job code in the subject line: BHJOB11837_4114. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V
#J-18808-Ljbffr