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Compliance Officer (18939)

Designation: Direct Hire Category: Banking Location: Houston, TX
Salary: DOE Job Code: 18939  

Job Description:

The Compliance Officer is responsible for the bank’s overall compliance program, which involves managing the bank’s compliance program; monitoring the bank’s compliance with banking regulations and laws; responding to inquiries about the bank’s compliance policy in relation to loans, deposits, and customer service; and responsible for Bank Secrecy Act compliance as well as compliance to all other applicable laws and regulations. It functions as an independent and objective body that reviews and evaluates BSA and compliance issues/concerns within the organization and provides support and guidance to operational and lending compliance committees and coordinates external audits. This position requires a high degree of initiative, discretion, and judgment. Incumbent applies advanced knowledge of overall bank operations to work performed. Works under guidance of the Board of Directors and President & CEO and assures compliance with all bank policies and procedures as well as all applicable state and federal banking regulations including the Bank Secrecy Act.


Essential Functions

§ Administers the bank’s compliance program by acting as an independent review and evaluation body to ensure that compliance issues and concerns within the organization are being appropriately addressed.

§ Oversees the accounting, investment, and lending operations of the bank to make operations are in compliance with federal, state and local laws as well as banking regulations.

§ Provides reports on a regular basis, and as directed or requested, keeps the Board and Senior Management informed of the operations and progress of Compliance efforts.

§ Stays abreast of federal and state laws and regulations pertaining to the banking industry and ensures the bank’s compliance program is updated.

§ Coordinates and develops plans to implement laws and regulations.

§ Ensures bank's policies and procedures are updated and in compliance with banking regulations.

§ Examines policies, procedures, and practices to ensure compliance with laws and regulations.

§ Performs testing of policy and procedures to assure objectives are met and compliance with laws and regulations is achieved.

§ Identifies potential areas of compliance vulnerability and risk; develops and implements corrective action plans for resolution of problematic issues.

§ Maintains an ongoing review program of bank compliance.

§ Coordinates bank’s internal and external compliance audits as well as the OCC review and, with management, responds to audit and review findings.

§ Coordinates and supports the company’s compliance-related programs such as compliance training, compliance testing, and reporting.

§ Advise, oversee and train the bank staff on compliance procedures.

§ Ensures accurate completion of related policies and reports.

§ Develops, tests and implements policies and procedures (manual and computerized).

§ Processes, solves and answers complex customer transactions, problems or inquiries.

§ Assumes responsibility for special projects; gathers data and prepares reports for Senior Management, audits, and other personnel.

§ Performs other duties as assigned by President & CEO and Board of Directors.




§ Bachelor’s degree in Finance, Accounting, Management, Economics, or related field (advance degree or certification is preferred).

§ 6+ years of relevant professional experience or demonstrated high level of success related to finance, public administration.

§ In-depth knowledge of related state and federal banking compliance regulations, and bank policies and procedures

§ Advanced knowledge of related state and federal banking compliance regulations, and Bank policies and procedures.

§ Ability to read, analyze and interpret general business periodicals, professional journals, and technical procedures.

§ Excellent organizational and time management skills, with the ability to provide leadership, supervision and training for employees using positive techniques to ensure maximum productivity; demonstrated ability in organization and delegation skills.


Becky Barclay