Compliance Investigation Manager jobs in Connecticut

Essential Functions and Responsibilities:

•Assist the Chief Compliance Officer in the implementation of new regulations and changes to existing lending regulations

•Assist the Chief Compliance Officer in the development and implementation of lending compliance policies and procedures

•Maintain up-to-date lending compliance policies, procedures and disclosures

•Provide compliance-related guidance and support to lending business units, including review of compliance-related departmental procedures

•Oversee internal lending compliance monitoring reviews to ensure adherence to policies and related procedures

•Work with business units to resolve errors or deficiencies identified in internal monitoring reviews and provide additional training, as needed

•Prepare for OCC lending compliance regulatory exams, internal audits and compliance monitoring reviews and risk assessments

•Work with business units to resolve any deficiencies noted in exams, audits, reviews and risk assessments

•Assist the Chief Compliance Officer in the annual Enterprise-wide Compliance Risk Assessment

•Conduct the annual Fair Lending Risk Assessment

•Work with business units to ensure core application, automated loan workflow and documentation systems are, and remain, compliant with existing or new regulations

•Subject Matter Expert for lending compliance related online courses and the related annual training schedule

•Develop and conduct compliance training related to new lending regulations or changes to existing lending regulations

•Assist Chief Compliance Officer in researching and responding to lending related complaints within required timeframe

•Assist the CRA Officer, as needed, with error resolution, preparation for annual LAR data submission, etc.

•Serve as a member of the Management Compliance Committee and CRA Committee

•Work with business units to ensure record retention requirements for loan related documents adhere to regulatory requirements

•Manage lending compliance staff including training, coaching and performance reviews (annual and mid-year)

•Provide coaching and follow-up, as needed, to ensure performance is satisfactory

•Regular and predictable attendance