Risk Compliance Manager

Risk Compliance Manager


Responsible for managing compliance risks related to; deposits and loans, bank products, disclosures, advertisements, marketing and other compliance concerns.  Analyze internal processes, policies and procedures and consider the inherent and residual risks with an enterprise perspective.


Essential Duties  

  • Works closely across department lines to monitor and update bank operating policies and procedures to ensure compliance with applicable laws and regulations.
  • Identifies, through monitoring and internal reviews, procedural and policy related weaknesses and establishes guidelines for the development of processes to resolve deficiencies.
  • Reviews and revises as needed bank forms and disclosures for compliance with applicable laws and regulations
  • Coordinates and manages the internal audits.
  • Serves as the Security Officer.
  • Initiates investigative procedures in the event of a violation of a compliance procedure, policy, rule or regulation.
  • Assists with new product and service offerings including; researching and answering questions regarding state and/or federal compliance requirements.
  • Reviews all bank marketing materials as well as product and service collateral material for regulatory compliance.
  • Reviews the CRA program to determine benchmarked activity in the areas of Lending, Investment and Community Service and maintains the Bank’s Public File as required.
  • Primary contact for Whistle Blower Program.
  • Serves on Disaster Recovery.


Education or Experience Preferred 

  • Bachelor’s Degree in Management or Business preferred or high school diploma/equivalent with five years’ experience in bank compliance, risk management, BSA/AML positions

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