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Compliance Officer- Banking
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Job Location: Charlotte, NC

Job #: 12348
Title: Compliance Officer- Banking
Job Location: Charlotte, North Carolina - United States
Employment Type:
Salary: $85,000.00 - $135,000.00 - US Dollars - Yearly
Employer Will Recruit From: Nationwide
Relocation Paid?: Yes



Responsible for providing superior regulatory support and guidance to various lines of business and for evaluating, tracking and reporting on the state of regulatory compliance.

To meet ongoing needs, the client bank is seeking a Lead Compliance Officer to support the Unfair, Deceptive or Abusive Act or Practice, UDAAP, oversight function by providing expert anticipatory regulatory advice, challenge and oversight these compliance matters. The successful candidate will have direct, in depth experience in UDAAP concepts and other Banking regulations. The successful candidate will collaborate with their teammates and business partners to foster an open and honest risk management and compliance culture across the client by providing timely reporting and escalating identified regulatory risks to Compliance and Business Unit Management.


  1. Providing expert regulatory advice, challenge and oversight on potential UDAAP matters.
  2. Analyzing and implementing changes and enhancements to the assigned programs based on new and changed regulations, guidance, enforcement actions and industry trends.
  3. Assisting in assurance reviews, audits, regulatory examinations and other such other reviews affecting the client.
  4. Demonstrating the ability to exercise good judgment in assessing the significance and relevance of identified compliance risks and timely escalation to Compliance Management.
  5. Developing and managing strong working relationships with the business units.
  6. Implementing the second line of defense UDAAP monitoring program, including recommending changes and enhancements to processes where necessary.
  7. Performing risk assessments on the assigned programs and products.
  8. Drafting clear and concise reports of the results of ongoing monitoring and assessment projects and communicating same to Senior Compliance Management and Business Line Management.
  9. Advising the line of business on options and alternative methods of remediating regulatory compliance issues identified through self-assessments, compliance monitoring, Compliance Assurance testing, Internal Audits and regulatory examinations.

  1. Seven or more years of Bank audit/regulatory compliance experience in consumer financial services field or a regulatory agency, with a minimum of 3 years direct experience in UDAAP matters.
  2. Knowledge of the multiple deposit and lending regulations including, but not limited to, those impacting UDAAP (including ECOA/Reg B, SCRA, FCRA, FDCPA, TILA/Reg Z) and industry/"best-practice" approaches.
  3. MS Office (Word, Excel, Access, PowerPoint, etc.).
  4. Bachelor`s degree in Business, Finance or equivalent.
  5. Certified Regulatory Compliance Manager (CRCM) certification or equivalent is preferred but not required.

University - Bachelor`s Degree/3-4 Year Degree

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