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Senior Compliance Officer
Western Alliance Bank. Review and analyze information, reports, or data to determine whether processes comply with internal policy or regulations .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in Regulatory Compliance and Risk Management, with a strong focus on mortgage servicing compliance oversight and the ability to analyze and improve compliance controls. Proficient in interpreting regulations and providing guidance on compliance management and risk mitigation strategies.
Highest-signal resume keywords
Regulatory ComplianceRisk ManagementCompliance MonitoringMortgage Servicing ComplianceCommunication Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory Experience in RESPARegulatory Experience in TILARegulatory Experience in FCRARegulatory Experience in SCRARegulatory Experience in FDCPARegulatory Experience in ECOARisk-Based Compliance MonitoringEvaluating ControlsIdentifying Compliance GapsData Management
Soft Skills
Effective ChallengeRelationship BuildingCommunication Skills
Tools & Technologies
Compliance Management SystemMS Office
Industry Keywords
Internal AuditCompliance InterpretationRisk AssessmentsIssue ManagementControls EvaluationExam ManagementRisk MitigationMortgage Servicing ProcessesCommercial Banking ProductsState Mortgage Servicing Requirement
About the role
Key responsibilities & impact- Review and analyze information, reports, or data to determine whether processes comply with internal policy or regulations
- Provide effective challenge to the business where applicable
- Assist management with development, maintenance, and support of the Compliance Management System, particularly mortgage servicing compliance oversight
- Provide subject matter advice, oversight, and guidance on bank policies, compliance interpretation, risk assessments, issue management, policy and procedure review, controls evaluation, exam management, data management, and risk mitigation
- Collaborate with all lines of defense departments to support regulatory commitments and develop enhanced monitoring and controls
- Interpret and communicate compliance management information
- Identify root causes of potential compliance risk and advise on addressing risk and strengthening controls
- Provide periodic reports to management
- Monitor compliance issues and analyze risk mitigation strategies and tactics
- Validate the effectiveness of corrective action plans
- Identify opportunities to improve compliance control design and effectiveness
- Issue final reports and communicate results in writing to first-line management or risk committees
Requirements
What you’ll need- 2+ years of related experience in Regulatory Compliance, Risk Management, Internal Audit or similar field
- Experience with mortgage servicing compliance programs preferred
- High school diploma required
- Bachelor's degree in related field preferred
- Regulatory experience in RESPA, TILA, FCRA, SCRA, FDCPA, FDPA, ECOA, and UDAAP required
- Regulatory experience in EFTA, E-SIGN, HPA, HCA, PTFA, and State Mortgage Servicing Requirement is nice to have
- Experience developing or performing risk-based compliance monitoring, evaluating controls, identifying potential compliance gaps, and providing effective challenge strongly preferred
- Experience with compliance monitoring required
- Intermediate knowledge of general banking operations, including deposit operations, loan administration, treasury management and/or other commercial banking products and services
- Experience with mortgage servicing-related processes including default and non-default and subservicing oversight preferred
- Intermediate knowledge of applicable mortgage servicing-related regulatory and legal compliance obligations, rules and regulations, industry standards and practices
- Intermediate understanding of MS Office
- Intermediate ability to foster and build relationships to achieve a common goal
- Intermediate speaking and writing communication skills
Benefits
Comp & perks- Competitive salaries
- An ownership stake in the company
- Medical and dental insurance
- Time off
- 401k matching program
- Tuition assistance program
- Employee volunteer program
- Wellness program
- Annual bonus/incentives earned and restricted stock may be available