Compliance Jobs

SVP Compliance Officer – Financial Services, Los Angeles, California

By August 10, 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 improve compliance and risk programs
  • Financially stable business with year on year growth for the previous eight 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
  • Develop and implement policies and procedures, upskill team members, provide strategic guidance
  • Hands on operational oversight of Regulatory Compliance and CRA programs


  • Reporting to the Chief Executive Officer and managing 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
  • Ensure 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
  • Oversee CRA assessment areas, qualifications and CRA regulations that pertain to the bank
  • Oversee, develop and disseminate 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
  • Serve as bank’s Privacy Officer


  • Essential Education: Bachelor’s degree
  • You must bring significant commercial banking regulatory compliance experience, ideally from a small to medium sized institution – including US Patriot Act and ‘Alphabet Regs’
  • You will have demonstrable experience improving compliance programs
  • CRCM prefered

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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