Chief Compliance Officer - Occ

Foris DAX National Trust Bank

United States, United States
On-site
Adhere to relevant policies and procedures
Manage compliance function effectively
Meet occ compliance standards
The Chief Compliance Officer (CCO) will monitor operations to ensure that personnel adhere to the relevant policies and procedures, that the compliance function is managed effectively, and that the compliance standards are met to the satisfaction of the Office of the Comptroller of the Currency (OCC)

Job Summary

  • The Chief Compliance Officer (CCO) will monitor operations to ensure that personnel adhere to the relevant policies and procedures, that the compliance function is managed effectively, and that the compliance standards are met to the satisfaction of the Office of the Comptroller of the Currency (OCC).
  • The CCO will implement and maintain compliance policies and procedures and maintain oversight of relevant Legal and Finance policies, coordinate with other officers to conduct an annual risk assessment, and ensure periodic personnel training.
  • The Chief Compliance Officer will report to the Board and the Audit Committee regularly on the status of compliance and all material incidents of non-compliance to the President as soon as practicable as well as to the Board directly where appropriate.

Matching Summary

The Chief Compliance Officer (CCO) will monitor operations to ensure that personnel adhere to the relevant policies and procedures, that the compliance function is managed effectively, and that the compliance standards are met to the satisfaction of the Office of the Comptroller of the Currency (OCC).

Skills & Requirements

Must-have

  • adhere to relevant policies and procedures
  • manage compliance function effectively
  • meet OCC compliance standards
  • implement and maintain compliance policies
  • oversight of Legal and Finance policies
  • coordinate annual risk assessment
  • periodic personnel compliance training
  • work with external auditors
  • support SOC audits

Nice-to-have

  • report to Board and Audit Committee
  • report material incidents to President

Key Requirements

  • Head of Compliance experience
  • experience with OCC regulations
  • experience with SOC audits

Work Rights

Not specified

Tailored Resume

Cover Letter