Compliance Jobs

Compliance Officer – Financial Services, Los Angeles, California

By February 19, 2020 No Comments

We are representing a national banking business in their search for a Regulatory Compliance Officer in Los Angeles.

Why Join Us:

  • Position with opportunity to in improve compliance and risk programs
  • Financially stable business with year on year growth for the previous nine years
  • Culture built on valuing and empowering people, and achieving goals through a superior customer experience

Expectations first 12 months:

  • Build understanding of business and develop relationships with key stakeholders
  • Assist Chief Risk Officer in improving and implementing policies and procedures, upskilling team members, providing strategic guidance
  • Hands on operational oversight of Regulatory Compliance program


  • Reporting to the Chief Risk Officer and managing a Senior Compliance Analyst
  • Conduct a company-wide compliance risk assessment on an annual basis and plan and execute improved processes as needed
  • Develop, initiate and maintain policies and procedures for compliance program to prevent illegal, unethical, or improper conduct
  • Ensuring that the Board of Directors, management and employees are in compliance with rules and regulations of regulatory agencies and that company policies and procedures are followed
  • Collaborate with other departments (e.g. Internal Audit, Human Resources, Operations, Loans, etc.) to direct compliance issues to appropriate channels for investigation and resolution
  • Respond to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures; Develop and oversee a system for uniform handling of violations
  • Actively participate in compliance committee and regulatory audits and examinations
  • Provide reports on a regular basis to the compliance committee, Board, and senior management
  • Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies
  • Overseeing CRA assessment areas, qualifications and CRA regulations that pertain to the bank
  • Overseeing compliance training to various departments to cover appropriate topics such as Reg E, Reg D, Reg DD, Fair Lending, Reg B, identity theft, CRA, Reg O, UDAAP, etc. )
  • Create and maintain a compliance monitoring schedule and compliance monitoring
  • Manage and Analyze CRA data and reporting and maintain CRA public file
  • Maintain and execute a compliance calendar


  • Essential Education: Bachelor’s degree
  • You must bring significant commercial banking compliance experience, ideally from a small to medium sized institution – including BSA, AML, OFAC, US Patriot Act and Privacy
  • You will have demonstrable experience improving compliance programs

Application Process for Compliance Officer: Qualified professionals are to submit resume to Steve Harrison:

Published by Conselium Executive Search, the global leader in compliance search.  

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