Senior regulatory reporting specialist for investment bank, building MiFID II and EMIR reporting functions from ground up with senior stakeholders.
About the role
- VP Compliance Officer at Axos Bank responsible for regulatory compliance and risk management. Ensuring bank operations align with federal and state laws while guiding the compliance team.
Responsibilities
- Oversight of scheduled loan level documentation reviews, regulatory change management communication, and transactional testing on all lending products through focused and random sample basis
- Assess the appropriateness of the existing review scope and develop new or enhance approach to increase effectiveness of the CMS Program & Regulatory Change Management Program
- Participate and support in business unit touchpoint meetings communicate results and any required action steps
- Identify automation initiatives through data driven compliance monitoring to streamline processes, includes model validation, reporting and working with data analytics to identify business requirements and develop alerts
- Review effectiveness of existing alerts and ensure timely completion
- Participate in task force for the purposes of developing marketing campaigns, disclosures, new products, and customer facing or escalated regulatory questions
- Address regulatory concerns as applicable and identify solutions. Provide response and/or guidance to the Business Units, vendors, etc.
- Develop and/or own Management Directives and Policies for submission to Management/Board Committees
- Serve as Compliance Coordinator providing guidance aligned with Policy requirements.
- Present & participate in Compliance Management Committee
- Support OCC examinations as needed
Requirements
- Bachelor’s degree in finance, business administration, law, or equivalent work experience
- 5+ years of experience in banking compliance, risk management, or a related field
- Proven experience in a leadership or managerial role within compliance or risk management
- Deep understanding of banking laws, regulations, and compliance requirements
- Strong analytical abilities to assess regulatory impacts and identify compliance risks
- Meticulous attention to detail to ensure thorough compliance monitoring and reporting
- Excellent verbal and written communication skills for training staff and reporting to senior management
- Effective problem-solving abilities to develop and implement process improvements
- High ethical standards and integrity
- Commitment to staying updated on regulatory changes and industry best practices
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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