Compliance Officer

Location: Fairfield Campus
Req. #: 18-457
# of openings: 1


Compliance Officer 

Reports to the Vice President – CRA/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
    • 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


  • 5 Years or more related experience (recent) as a compliance officer emphasis on lending (second line of defense)
  • CRCM Certification is desirable
  • Strong working knowledge of consumer and commercial lending operations and related compliance laws and regulations (Federal and California)
  • Strong technical and analytical skills
  • Excellent written and verbal communication skills.

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