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Compliance Officer

Fairfield, CA

Posted: 03/25/2019 Employment Type: Full Time Industry: Other Job Number: A Pay Rate: $85,000 to $95,000 /year

Reports to the Compliance Manager. Assists with the implementation of the compliance monitoring program.

• Provides technical support and guidance to business units affected by compliance laws and regulations
• Keeps abreast of and analyzes new and pending laws and regulations
• Researches regulatory law, recent or proposed changes, guidance and interpretations as part of the Compliance Review planning process.
• Compliance Monitoring Activities- UDAAP, Consumer Compliance, Mortgage Compliance
• Compliance Reviews (monitoring and testing) to assess the effectiveness of the practices used to ensure legal and regulatory compliance.
• Prepares Compliance Review that summarizes the scope of work performed, findings, and any regulatory exceptions.
• Assists with reviewing marketing promotional materials for compliance with regulatory requirements
• Compliance regulatory exams (assists with preparation and support)
• Performs other duties as assigned
• May participate in the development of Compliance standards, policies, and practices
• Back up support to other compliance department functions

David Lutz

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