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Senior Compliance Officer - Advisory and Guidance

Company: Disability Solutions
Location: Phoenix
Posted on: May 14, 2024

Job Description:

Job Title:Senior Compliance Officer - Advisory and GuidanceLocation:CityScapeWhat you'll do:The Advisory Senior Compliance Officer serves as a key subject matter expert in ensuring lines of business compliance with applicable regulatory requirements. This role provides second-line independent oversight and guidance regarding business products, services, and processes to ensure Western Alliance Bank complies with applicable laws, rules, and regulations. The Advisory Senior Compliance Officer will partner with the business and key stakeholders to drive a strong culture of compliance and demonstrates integrity and professional judgment in protecting the interests of Western Alliance Bank. The Advisory Senior Compliance Officer assists the Advisory Compliance Manager in communicating and implementing changes to the Compliance Policy, Program and Procedures as needed to improve compliance, or as required by amendments to the regulations.What we are looking for: Responsibilities:

  • Provide subject matter expertise and guidance on state and federal compliance laws and regulations to strengthen processes, procedures and controls for the lines of business.
  • Stay current with industry best practices and guidance relating to regulatory compliance.
  • Partner with the lines of business to understand compliance impacts on changes to product offerings and business changes.
  • Actively participates in Compliance Department meetings by providing topics for discussion and reporting on areas of weakness identified through the monitoring and testing program or other compliance concerns that may periodically arise.
  • Ensure internal records used to track issues and action plans are kept up-to-date.
  • Track remediation of identified issues to ensure timely implementation by the line of business.
  • Maintain proactive and effective relationships with First Line of Defense stakeholders in order to gain insight into compliance risks associated with line of business activities, objectives, practices, processes, and overall control environment.Qualifications:
    • Bachelor's Degree or 3+ years of compliance, risk, or auditing experience is required.
    • Strong understanding of applicable federal, state banking laws and regulations with the ability to promptly research regulatory requirements.
    • Strong understanding of compliance risk management principles and role in advising and providing guidance on bank laws, rules and regulations, and related policies and procedures.
    • Ability to clearly define scope and identify root cause of problem, research potential solutions, and engage stakeholders in discussion to obtain First Line of Defense engagement; escalation as appropriate.
    • Analyzes documentation, researches solutions, and presents recommendations to stakeholders for implementation of non-complex problems.
    • Ability to identify and understand key risks, issues and trends and to develop meaningful information to be shared with leadership.
    • Excellent written and verbal communication; Ability to build and maintain strong working relationships and obtain First Line of Defense engagement regarding risk ownership and mitigation activities.Benefits you'll love:We offer all the important things you'd want - like competitive salaries, an ownership stake in the company, medical and dental insurance, time off, a great 401k matching program, tuition assistance program, an employee volunteer program, and a wellness program. In addition, you'll have the opportunity to bolster your business knowledge, learning the ins and outs of how successful companies operate and manage their finances, giving you invaluable hands-on experience to help grow your career!About the company:Western Alliance Bank is a wholly owned subsidiary of Western Alliance Bancorporation. Alliance Bank of Arizona, Alliance Association Bank, Bank of Nevada, Bridge Bank, First Independent Bank, and Torrey Pines Bank are divisions of Western Alliance Bank; Member FDIC. AmeriHome Mortgage is a Western Alliance Bank company.Western Alliance Bancorporation is committed to equal employment and will consider all qualified applicants without regard to race, sex, color, religion, age, nation origin, marital status, disability, protected veteran status, sexual orientation, gender identity or genetic information. Western Alliance Bancorporation is committed to working with and providing reasonable accommodations for individuals with disabilities. If you are an individual with a disability and require a reasonable accommodation to complete any part of the application process and/or need an alternative method of applying, please email or call 602-386-2488. When contacting us, please provide your contact information and state the nature of your accessibility issue. We will only respond to inquiries concerning requests that involve a reasonable accommodation in the application process.-- Western Alliance Bancorporation

Keywords: Disability Solutions, Phoenix , Senior Compliance Officer - Advisory and Guidance, Accounting, Auditing , Phoenix, Arizona

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