Bankers Trust Compliance Supervisor in Des Moines, Iowa

Compliance Supervisor

Location

Des Moines, IA

of openings

1

Apply Now

Job Brief

Support Bankers Trust (Bank) business units by implementing and overseeing a regulatory Compliance Management System (CMS) designed to achieve proactive compliance with applicable statutes, regulations, and guidance while promoting Bank goals.

Job Summary:

Support Bankers Trust (Bank) business units by implementing and overseeing a regulatory Compliance Management System (CMS) designed to achieve proactive compliance with applicable statutes, regulations, and guidance while promoting Bank goals of performance and growth. Applicable statutes, regulations, and guidance are primarily those included in federal and state consumer compliance examinations, but will also include others, as assigned.

Primary Functions and Responsibilities:

  • Assess, document, and report the compliance risk facing the Bank

  • Implement and oversee a CMS designed to mitigate compliance risk associated with technical regulatory compliance

  • Enthusiastically support, mentor, and manage direct reports

  • Define and communicate job roles and responsibilities to direct reports

  • Monitor the job performance of direct reports, including quality and volume of work product such as compliance research and reports

  • Hire, coach, and evaluate direct reports

  • Independently create - and also assist business managers in creating - policies and procedures

  • Support business unit managers in the design and implementation of workflows and procedures that achieve compliance

  • Create and provide tools (e.g., checklists, “cheat sheets,” etc.) to Bank staff to promote compliant operations

  • Implement and oversee a comprehensive compliance training program including curriculum and vendor selection as well as creation and delivery of original training content, in cooperation with business-line managers

  • Implement and oversee a risk-based compliance monitoring program

  • Create workpapers and other tools for use in compliance monitoring

  • Monitor and implement new and changing regulations

  • Design and utilize effective tools (e.g., reports, charts, graphs) to measure and communicate the activity and performance of the CMS

  • Report the performance of the CMS to the Sr. Compliance Manager

  • Oversee the Bank’s Residential Real-Estate Quality Control Program and Quality Control Officer

  • Collaborate with peers and supervisors in the Compliance and Risk areas to comprehensively identify and mitigate compliance risk

  • Represent the Compliance Department in facilitating and responding to internal and external program audits

  • Represent the Compliance Department in facilitating and responding to regulatory exams

  • Respond to compliance questions from Bank staff

  • Co-chair the Bank Compliance Committee

  • Serve as a subject matter expert on bankwide projects, committees, and initiatives

  • Assist in the review of Bank marketing and advertising

Supervisory Responsibilities:

  • # of Direct Reports = 3

Education and Experience:

  • BA/BS Degree

  • 8+ years financial services experience with 5 years’ experience in compliance, audit, quality control, or legal

  • Managerial/supervisory experience

Specific Skills, Knowledge & Abilities:

  • Ability and willingness to learn independently and continuously through reading, research and formal industry training

  • Ability to foster relationships and work collaboratively with employees at all levels of the organization and with regulators

  • Superior ability to be understood in both oral and written form

  • Expert knowledge of consumer compliance regulations

  • Knowledge of Bank products and processes

  • Ability to translate complex requirements into actionable steps