Chief Compliance Officer


: $69,370.00 - $125,040.00 /year *

Employment Type

: Full-Time


: Legal


The Compliance Officer is responsible for developing and updating the Bank's compliance program to ensure that all departments and branches comply with applicable laws and regulations.

Oversee or perform periodic testing reviews in accordance with the testing and monitoring plan, as established in the Compliance Management Program. Role is to confirm key compliance-related and non-compliance related business line controls are completed to mitigate risk across applicable product and services.


  • Directly supervise the Compliance Department. Management of developing, implementing, and administering all aspects of the Bank's Compliance management program, including policies, procedures, systems monitoring, technology-based controls, and training as well as compliance monitoring and testing.
  • Plan, organize, and controls bank's day-to-day administrative, lending, and operations compliance activities. Manage a wide variety of regulatory compliance operational matters. Coordinate, schedule and perform targeted compliance testing to evaluate the effectiveness of the bank's CMS program, including development of policies, standards, procedures and adherence to applicable federal state laws and regulations.
  • Manage compliance audits and overall regulatory filings, including HMDA and CRA. Advise senior management regarding risk levels and recommend updates as regulation change as well as manage relationships with external agencies on compliance and reporting issues.
  • Thorough understanding to ensure compliance with all laws and regulations applicable to the position (all required Alpha Regs). Act as the bank's primary contact for regulatory compliance research, analysis, and interpretation involving a high degree of accuracy in interpreting and communicating regulatory compliance issues with staff, senior management, including Audit Committee and Enterprise Risk Committee.
  • Collaborate with other departments to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with legal as needed to resolve respective legal compliance issues. Responds to alleged violations of rules, regulations, policies, and procedures by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
  • Conduct specific compliance testing with loan compliance and deposit compliance areas. Includes performing reviews of system control records, transactions, and customer files to assess quality, accuracy, and compliance with applicable regulatory standards.
  • Monitors, and as necessary, coordinates compliance activities with other departments of the status of all compliance activities and to identify trends. Identifies potential areas of compliance vulnerability and risk, develops/implements corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.
  • Institutes and maintains an effect compliance communication program for the Bank, including understanding of new and existing compliance issues and related policies and procedures.
  • Remain current on all pertinent consumer lending and other bank-related laws and regulations.
  • Review all forms and procedures for compliance with regulations.
  • Periodically update and circulate board-approved compliance policies; maintain a compliance library; develop training materials for bank-wide use; perform training throughout bank on compliance topics.
  • Assist and advise bank officers regarding deposit & loan compliance, Privacy, Community Reinvestment Act, and Vendor Management.
  • Assist in investigation and resolution of consumer complaints.

Perform at least annual compliance reviews and examinations of branch banks for the purpose of:

  • Evaluating adherence to current state and federal regulations.
  • Evaluating loan portfolio quality and documentation.
  • Determining effectiveness of internal controls.
  • Evaluating management ability and knowledge with regard to loan policies and regulations.
  • Prepare a written report, outlining examination results, and report the findings to the Board of Directors.
  • Complete other duties as assigned.



  • High School diploma or equivalent, required.
  • 4-year degree preferred.
  • At least 5 years' banking experience of which 3 years have included involvement in compliance activities.
  • Auditing experience is a plus.
  • Excellent written and verbal communication skills, computer proficiency and an eye for detail.


  • This position must be able to sit for long periods of time as the position involves the majority of time spent at a computer.
  • This position requires moderate travel.

Job Requirements:
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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