Apply Now

VP, Compliance Officer

Dallas, TX, USA | TBK Bank

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
    7-10 years
Job Description:
74 people have viewed this job

VP, Compliance Officer is responsible for overseeing the quality and adequacy of the Bank’s Consumer Compliance Management System and partnering with operational business units to promote adherence to consumer compliance laws and regulations throughout the organization.  


Leads and directs all aspects of the consumer compliance program.Responsibilities include:

Consumer Compliance and Fair Banking

Review and maintenance of all policies and procedures necessary to ensure a strong consumer compliance management program;

Oversees the quality and effectiveness of the Compliance Management Program;

Establishes and maintains an effective system to assure the organization stays abreast of and promptly responds to existing and changing consumer compliance mandates;

Oversees a system to uniformly detect and correct compliance violations, deficiencies, and potential consumer harm;

Monitors, and as necessary, coordinates initiatives to remain abreast of the status of compliance activities across the enterprise including, but not limited to, new products and services;

Identifies potential areas of compliance vulnerability and risk and coordinates mitigation strategies with business unit owners;

Provides reports on a regular basis to the Board and senior management including reports of violations and corrective actions;

Coordinates with Human Resources and others as appropriate to develop an effective compliance training program to include appropriate new team member training as well as ongoing consumer compliance training for all team members;

Oversees the periodic analysis of lending and denial activity to document fair lending risks;

Consults with business line leaders to identify risks, best practices and expectations pertaining to equal credit, fair credit reporting, fair lending laws, and unfair and deceptive practices;

Oversees the updating of the fair lending risk assessment, including design and execution of launching or updating products and services;

Oversees the development and distribution of fair banking training materials for necessary employees and job functions. Fair banking would include fair lending laws and regulations and guidance for mitigating risks of engaging in unfair and deceptive practices;

Maintains ongoing awareness of lending products, programs, operations, systems, and controls;

Coordinates with lending lines of business to evaluate proposed business changes, including new or modified products/services, new or modified policies, procedures, processes, or systems to ensure compliance with applicable fair lending related laws and regulations;

Ensures periodic fair lending reports are prepared and communicated to senior management, and the Board of Directors. At a minimum, these reposts should include significant fair banking developments and fair banking risk monitoring and testing results

Oversees ongoing reviews of consumer complaints, advertisements, loan approval and denial documentation, and all applicable consumer related forms for fair banking risks

Acts as primary regulatory contact for federal and state consumer compliance exams.


7-10 years of demonstrated strong consumer compliance program management experience

5+ years of related financial institution or regulatory experience;

Bachelor’s degree from a four year college (preferred), or equivalent combination of education and experience;

Must have strong personal computer and communication skills.

Certified Regulatory Compliance Manager (CRCM) (Preferred)


Must possess utmost professional qualities including leadership, high energy, results driven, and self-motivation.

Analytical – Synthesizes complex or diverse information; collects and researches data; uses intuition and experience to complement data; Designs workflows and procedures.

Problem Solving – Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Develops alternative solutions.

Project Management – Develops project plans; Coordinates projects; Communicates changes and progress; Completes projects on time and budget.

Technical Skills - Solid knowledge of Microsoft Word, Excel, and Outlook; Pursues training and development opportunities; Strives to continuously build knowledge and skills; Shares expertise with others.

Interpersonal Skills – Focuses on solving conflict, not blaming; Maintains confidentiality.

Change and Quality Management – Communicates changes effectively; Builds commitment and overcomes resistance; Monitors transition and evaluates results; Demonstrates accuracy and thoroughness.

Strategic Thinking – Develops strategies to achieve organizational goal's Identifies external threats and opportunities Adapts strategy to changing conditions.

Adaptability – Changes approach or method to best fit the situation.

Communication - Excellent communication skills required, both written and verbal

Must be willing to travel 25-50% to branch locations and to future acquisition locations.

Other companies hiring with Ivy Exec

 Company Logos