Compliance Advisor for Global Sanctions supporting Fidelity’s enterprise Global Sanctions program. Responsibilities include alert management, investigations, and technology support.
About the role
- AVP, Compliance Officer leading compliance risk assessments and supporting regulatory changes at Axos Bank. Responsible for enhancing compliance programs and liaising with business units in a regulated environment.
Responsibilities
- Develop, enhance or lead scheduled loan level documentation reviews, kick off meetings, transactional testing, risk assessments on all lending products through focused and random sample basis to increase effectiveness of the compliance program
- Lead touchpoint meetings with business unit leaders communicate results, action steps, and regulatory change management as applicable
- Perform, identify and develop data driven compliance monitoring, model validation, and reporting to include working with data analytics to develop alerts
- Serve as lead oversight on the review and approval of marketing and advertising collateral items (i.e. Bank and third party), disclosures, new products, and general regulatory questions
- Provide response and/or guidance to the Business Units
- Participate in new product and service initiatives
- Evaluate process maps, procedures, policies, and management directives for accuracy and completeness
- Proactively identify, analyze, communicate, and execute upon improvements to compliance procedures and programs
Requirements
- Bachelor’s or Master’s degree in Business, Finance, Law, or related field
- Minimum 5 years in compliance, risk management, or regulatory affair
- Experience with OCC, CFPB, and other regulatory bodies preferred
- Strong understanding of lending operations and underwriting guidelines
Benefits
- Medical, Dental, Vision, and Life Insurance
- Paid Sick Leave, 3 weeks’ Vacation, and Holidays (about 11 a year)
- HSA or FSA account and other voluntary benefits
- 401(k) Retirement Saving Plan with Employer Match Program and 529 Savings Plan
- Employee Mortgage Loan Program and free access to an Axos Bank Account with Self-Directed Trading
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