Compliance Senior Manager - RJ Bank Fair and Responsible Banking

Raymond James Financial, Inc. • Saint Petersburg, FL • 2h ago

Essential Duties and Responsibilities

Performs RJ Bank fair lending compliance reviews and analyzes the fair lending risk within various business units.

Performs periodic compliance monitoring and prepares reports summarizing the Bank's fair lending activity.

Supports the comparative file/matched pair analyses for Residential, Consumer, and Small Business lending portfolios.

Supports the Home Mortgage Disclosure Act (HMDA) compliance program by reviewing reportable transactions, compiling data, and performing validity and quality edit reviews.

Provides advice and guidance to the Bank's First Line of Defense concerning HMDA data collection and Fair Lending-related topics.

Completes and maintains the Bank's fair lending risk assessments.

Participates in the Bank's Complaint program oversight and management.

May coach, train, and mentor other Compliance associates.

May assist with developing and implementing continuing education and training programs for the department in conjunction with management.

Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.

Partners with business units to recommend policy and process changes to Senior Management.

Ensures effective coordination occurs within assigned work groups and with other work groups.

Serves as a resource on compliance issues to clients and staff.

May serve as a compliance liaison on various committees and projects representing the department's interests.

Serves as a member of the relevant fair and responsible banking committees and/ or working groups as needed.

Research regulatory updates to identify linkages and trends and apply findings.

Performs periodic reporting on compliance and operational issues as required.

Assists in preparing the operational budgets for assigned functional areas.

Balances conflicting resource and priority demands.

Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

Fair lending-related regulations (i.e., HMDA, ECOA, FHA, CRA, UDAAP) with a minimum of three years of experience

Familiarity with Bank complaint processes and exceptional customer service skills

Concepts, practices, and procedures of banking compliance and knowledge of the securities industry a plus

Rules and regulations of: Federal Reserve System; Consumer Financial Protection Bureau (CFPB); Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Office of the Comptroller of the Currency (OCC); state banking regulatory agencies.

Investment concepts, practices, and procedures used in the banking and financial services industry.

Principles of banking and finance industry operations.

Regulatory exams, inquiries, and internal reviews.

Advanced skill in:

Performing fair lending comparative file reviews for underwriting and pricing.

Financial data analysis model development, model review, and validation.

HMDA data integrity file review experience.

Identifying loan origination systems controls and data is preferred.

Operating standard office equipment and using required software applications.

Planning and scheduling work to meet regulatory, organizational, and regulatory requirements.

Identifying and applying appropriate compliance monitoring procedures and tests.

Responding to regulatory inquiries and examination preparation tasks

Preparing oral and/or written reports.

Investigating compliance issues and irregularities.

Making rule-based and analytical decisions.

Strong verbal and written communication.

Ability to:

Coach and mentor others.

Partner with other functional areas to accomplish objectives.

Facilitate meetings, ensuring all viewpoints, ideas, and problems are addressed.

Attend to detail while maintaining a big-picture orientation.

Work concurrently under pressure on multiple tasks and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

Use appropriate interpersonal styles and effectively communicate with all organizational levels, both orally and in writing.

Work independently as well as collaboratively within a team environment.

Establish and maintain effective working relationships at all levels of the organization.

Maintain confidentiality.

Maintain currency in laws, rules, and regulations related to compliance in assigned functional areas.

Interpret and apply policies and identify and recommend changes as appropriate.

Quantitatively and/or qualitatively process data.

Formulate and implement department strategies consistent with long-term company goals.

Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

Bachelor's degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.

~or~

Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

None Required.

CRCM Certification Preferred

Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

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