Regulatory Compliance Officer


Miami, FL

Industry: Financial Services


Not Specified years

Posted 175 days ago

This job is no longer available.


A fast-growing regional bank, based in Miami, Florida, seeks a Compliance professional to focus on regulatory matters pertaining to retail consumer and commercial banking customers.

Essential Responsibilities

  • Assists in the preparation and performance of activities under the Regulatory Compliance Programs, including risk assessments, monitoring and testing, policies, procedures and programs, training activities, knowledge in the regulatory environment, regulatory change, implementations, reporting, and complaint management.


  • Activities will include, among others, consumer protections laws and regulations, analytics and monitoring.


  • Providing expert compliance advisory service and oversight to the Florida Region on regulatory requirements and compliance risks. Working with Line of Business management and other stakeholders to foster a culture of compliance. Assisting Line of Business management and other stakeholders in identifying, assessing, monitoring, measuring, and controlling applicable consumer compliance regulations, among others. Assisting Line of Business management in their design, development and monitoring of internal control systems to mitigate compliance risk, including the development of Key Performance Indicators. Assisting Line of Business management and other stakeholders to ensure that products, services or business activities are designed to operate in a manner that is fair, responsible and compliant with laws as well as safe, sound and commercially viable. Reviewing and assessing the adequacy of compliance obligations and deliverables of third party service providers that support the Line of Business.


  • Reviewing and approving Line of Business policies, procedures, disclosures, forms, systems and other artifacts and materials to ensure compliance controls are appropriate. Providing guidance on adapting processes and controls to changes in regulations or to changes in business operations, processes or systems that have a regulatory impact. Helping to investigate and determine root cause of compliance control weaknesses. Ensuring that action plans for correcting identified compliance control weaknesses solve for root cause and remain on track for completion.

Other Responsibilities

  • Understanding and escalating of issues through designated escalation channels. Preparing functional reporting for review by key stakeholders. Fostering positive working relationship with Line of Business management and second line of defense stakeholders to support adherence to regulatory requirements. Interacting with Line of Business management and otherrisk and compliance stakeholders to ensure a strong second line of defense and to support Line of Business and other first line of defense efforts and responsibilities.


  • Support and monitors the Florida Compliance Training Program. This includes; revise training material and assures that all new and regular employees of the Bank complete the Regulatory Compliance trainings each year. Also, the Florida Compliance Officer will be responsible for providing the annual Regulatory trainings, among others, in the region, as required by the Corporate Training Program.


  • Assists the Compliance Managers with the internal and external reports for the Audit Committee, Regulatory Compliance Committee, among others.


  • Prepare Reports and statistics to senior Management of Compliance efforts, special projects, Tracks compliance issues and action plans.


  • Provides support to Compliance Managers in special projects assigned.


  • Support Corporate Compliance Department in the following functions: (i) assistance in preparations and during the internal audits and regulatory exams; (ii) provide support to Corporate Compliance in overall consultations and projects in the Region; (iii) Participates and is an active member of the Regulatory Compliance Committee and other Committees.

Supervisory Responsibilities

This position has some direct supervisory responsibilities over the Compliance Specialists and Analyst positions.

Please email resumes to Jack Kelly at .