Compliance Testing Manager

The Compliance Testing Manager is responsible for leading the development, implementation, and maintenance of a Compliance Monitoring and Testing Program under the Bank’s Compliance Management System. Acts in a senior compliance management role in providing guidance and ensuring execution of other assigned compliance related projects, tasks, and functions. Prepares reports for various management committees and provides oversight support in audits and examinations. Responsible for
acting in a managerial role for the Compliance Testing function which includes the supervision and staff development of a monitoring and testing team.

RESPONSIBILITIES

• Develop and maintain a Compliance Testing program to address compliance risk.
• Establish a testing methodology that includes a testing universe and schedule, planning, execution, and reporting of compliance reviews.
• Ensure that testing is executed within established testing methodology, included comprehensive and accurate testing workpapers to support conclusions.
• Ensure compliance review reports are accurate and sufficient to support issues identified.
• Reviews testing team workpapers to ensure adequate testing and issue identification.
• Manage the annual testing schedule and ensure timely completion of compliance reviews.
• Prepare management reports on testing metrics and KRIs.
• Establish an issues management methodology and ensure adequate follow-up and closure of testing and monitoring issues in accordance with the methodology.
• Participate in establishing a compliance risk assessment methodology.
• Provide guidance and expertise in the development and completion of an annual compliance risk assessment.
• Participate in the management of regulatory examinations and internal audits, including acting as a primary liaison in providing documentation and responding to requests.
• Provide guidance and training to junior staff as applicable.
• Participates in educational and training events to attain/maintain essential work related knowledge and information.
• Responsible for maintaining an awareness of regulatory and legislative developments and industry trends through reading, classes, webinars and seminars.
• Oversight for enterprise compliance training program for relevant laws and regulations.
• Develops and delivers training presentations on compliance related topics.
• Coordinates outside training presentations with Bank personnel, as needed.
• Monitors web-based training (BVS) to ensure completion of courses assigned to Bank personnel.
• Responsible for supervisory duties such as hiring, firing, training, coaching, performance evaluation, assigning/monitoring work, disciplinary action, handling grievances, approving timecards, etc.
• Other duties as assigned.

QUALIFICATIONS

• Minimum 10 years of regulatory compliance experience required in consumer financial services field, or at a regulatory agency required.
• Minimum 3 years of compliance and/or audit management experience required at a financial institution with assets of $10 billion or more.
• Experience maintaining effective relationships with regulatory agencies required.
• Direct experience with regulatory compliance examinations required.
• Substantive and current knowledge of consumer and commercial lending, deposit and privacy regulations applicable to banks required.
• Strong technical and working knowledge of applying audit and testing concepts.
• Certified Regulatory Compliance Manager (CRCM) and Certified Anti-Money Laundering Specialist (CAMS) or other equivalent certification required or willingness to earn within one year.

A reasonable, good faith estimate of the minimum and maximum base salary or pay for this position is $156,719.20 to $235,078.80. Actual compensation will vary based on various factors including but not limited to location, experience, and performance.  A discretionary bonus and/or business line incentive may be provided, in addition to a medical and other benefits, dependent on the position.  For more information regarding our benefits, please visit https://www.ppbi.com/careers.html

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