East West Bank · 4 hours ago
Senior Compliance Advisory
Pasadena, CA
Full-time
Onsite
Senior Level, Lead/Staff
$130K/yr - $200K/yr
10+ years expEast West Bank is a top-performing commercial bank with a strong foundation and a commitment to integrity. The Senior Compliance Advisory role involves supporting the Corporate Compliance Advisory team to ensure business units comply with applicable laws and regulations while delivering quality compliance advisory support.
BankingFinanceFinancial Services
No H1B
Responsibilities
Support compliance advisory team for applicable laws, rules, and regulations, including credible challenge and assisting Business Units in strengthening and developing necessary controls
Maintain close relationships with risk and executive management, Business Unit, and Internal Audit to ensure compliance with compliance risk appetite and to allow for compliant solutions across the Bank
Review and approve related compliance policies, procedures, forms, and disclosures. Influence adjustments to processes, procedures, and controls
Identify potential internal and external risks related to Business Unit initiatives and processes. Provide guidance on remediation, escalate, and facilitate with subject matter expertise, as necessary
Work with Compliance Monitoring to capture, maintain, and analyze compliance data to monitor compliance risks
Provide credible challenge of Risk and Control Self-Assessments (RCSAs)
Provide guidance on controls over regulatory requirements and Business Units monitoring of those controls
Assist with the assessment of all regulatory risks and controls, including identifying gaps in controls, highlighting areas of highest risk, and developing appropriate risk mitigation strategies
Assist Business Units in development of compliance programs, including how to monitor, report, and train
Perform compliance risk assessments for the Business Units aligned to role
Assist in the development or review of compliance training and support / supplement Business Unit training, as necessary
Provide credible challenge of compliance issues and action plans to effectively resolve issues and ensure corrective action is effectively implemented
Manage timely completion of compliance issue validation records, as applicable
Monitor regulatory changes and manage regulatory change management process, including working with Business Units. This may include tracking, analyzing, performing initial impact analysis, and working with the Business Units to operationalize requirements
Monitor regulatory implementation for projects managed under other Compliance Officers
Review third-party contracts for compliance impact and assist with appropriate due diligence and monitoring of vendor activities that have a compliance risk
Be actively involved with RCSA, Compliance, and Internal Audit testing
Prepare committee packages, as needed
Assist Chief Compliance Officer and Director of Compliance Advisory with strategic projects as needed
May perform other duties as assigned
Qualification
Required
Minimum 10-15 years of experience with regulatory compliance in a banking environment; knowledge of banking regulations and guidance (CFPB and FRB)
Knowledge of relevant regulations, guidance, and industry leading practices
Experience with project implementation and management
Experience managing and developing staff
Proficiency in Microsoft Word and Excel is required
Bachelor's degree in a related field
Excellent oral and written communication skills; experience communicating with all levels of management, executive, and writing and presenting reports
Collaborative and good at building and leveraging relationships
Analytical and critical thinking
Preferred
Advanced degrees or certifications (e.g., JD, CRCM) are preferred
Company
East West Bank
East West Bancorp is a publicly owned company with $22 billion in assets. The Company’s wholly owned subsidiary, East West Bank, is one of
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1999-02-08IPO
Leadership Team
Christopher J. Del Moral-Niles
EVP & Chief Financial Officer
Diana Liu
Executive Assistant and Project Manager
Recent News
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