Chief Compliance Officer - Occ

Foris DAX National Trust Bank

United States, United States
On-site
Implement and maintain compliance policies
Annual risk assessment
Coordinate with external auditors
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 training on compliance policies.
  • 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.

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

  • implement and maintain compliance policies
  • annual risk assessment
  • coordinate with external auditors
  • report to the Board and Audit Committee

Nice-to-have

  • ensure personnel adherence to policies
  • manage compliance function effectively
  • support required SOC audits

Key Requirements

  • Head of Compliance experience
  • Fiduciary activities compliance
  • Information Security Officer collaboration

Work Rights

Not specified

Tailored Resume

Cover Letter