Corporate Compliance Manager

TCB Corp
Greenwood, South Carolina

Last Day to Apply: September 30, 2010

Corporate Compliance Manager

For the Upstate’s Fastest Growing

Financial Services Institution, Upstate, SC

Great Culture, Great People, Great Opportunity

Our client, a family-owned and high-growth Financial Services Institution is seeking a Corporate Compliance Manager who will have primary responsibility, with support of the Customer Delivery Team and the Compliance Officer, for developing, implementing and administering all aspects of the Bank’s Compliance Management Program in order to build a “Compliance Culture,” which is critical to attaining a premier rating, which will allow the Bank to manage risk effectively without limiting its growth. As such, this position is critical to the long-term strategic goals.

Position Duties and Responsibilities include:

Facilitator: The Corporate Compliance Manager will be a facilitator for insuring all staff within the institution consistently adheres to required policies and procedures, in order to be in compliance with state and federal regulations. Following internal and external audits, will work with the Internal Auditor and Division Managers to address “non- compliance” issues and build plans and implement activities to assure corrective action. In this regard, an ongoing reporting activity should be in place to keep Senior Management and The Board of Directors updated and in compliance.

Research and Communication: The Compliance Manager will proactively and consistently research reports and letters from the various regulatory agencies that provide compliance guidelines, sift through the critical rules, document and disseminate the “synthesized” versions so that all associates can fully understand how to implement the necessary regulations in their particular roles. Overall, the Manager will be responsible for developing and implementing programs to stay current with compliance regulations.

Staff Development: If regulations require significant changes in processes and procedures for staff, and a simple “explanation” isn’t enough, training and coaching of staff directly or through internal resources to assure adherence to the regulations will be the Compliance Manager’s role.

Document Management: The Compliance Manager will be responsible for creating and keeping up to date the master Corporate Compliance Manual and insuring that all associates are educated and fully aware of the content and practices in the Manual.

Maintaining Compliance Calendar: responsible for proactively scheduling those changes that will need to be made before the regulation goes into effect and ensuring annual review by appropriate staff and approval by the Board of Directors.

Manage Corporate Compliance Programs: Ensures overall management of corporate compliance programs, such as vendor management, information and physical facility security, either directly or in conjunction with assigned compliance program managers.

Compliance Culture – Just as manufacturing and other industries have attempted to create “Quality Cultures”, this Institution desires to create a “Compliance Culture”, where risks are mitigated with documentation and adherence to regulatory policies and procedures is “just the way we do things around here”. Managing risk appropriately and optimally is a significant component of Institution’s overall Strategic Goals. They do not intend to follow the path of some other institutions who find themselves in very difficult situations today because of unnecessary risks.

This position is critical to the institution’s ability to manage the proper balance of risk and reward to achieve its planned growth objectives.

The successful candidate will have worked in a financial services environment long enough to understand regulatory issues and their impact on the stability and ultimate success of a growing financial institution in today’s economic climate. You’ll have to love this work to do it well at this institution and you will be rewarded for your significant impact on the organization’s desire to become the “best”.

If you have the right experience, are self-motivated, like to create your own destiny, develop others’ capabilities, don’t like “micro-management”, but like to build creativity and innovation into your work, then consider working for this stable, one-of-a-kind community financial institution, where one-on-one relationships are key to their success. This is the place where you can truly expand your career as this institution grows regionally.

As their retained search firm, it is our job to find not average, but “superior performers”. If you know you’re smart, you are stuck in a place where your talents aren’t being optimized, you are a very hard worker, want to grow and learn, and want a career that uses all of your talents, then send us a cover letter telling us why you think you are the best person for this position, and of course, your latest resume. We look forward to hearing from you. Every letter and resume will be considered.

Specific Experience Required

BS/BA Degree from an accredited college
8-10 years financial services background with some or all of that experience in the compliance arena
Experience managing a high performance staff
Exceptional communication skills (including synthesis of data, rewriting technical data for general dissemination to all staff, presentation skills, etc.)
Research skills – Ability to dig for information from internet and other sources and to gain information from other financial institutions
Curiosity about regulatory compliance for financial institutions, with ability to create appropriate (not cumbersome) policies and/or procedures when required to keep institution in compliance.
Some experience in “building a compliance culture” or at least an understanding of what that means.

Salary: Commensurate with Experience

Excellent Benefits and Opportunity for Referral bonuses

Our Client is an Equal Opportunity Employer, and believes that talent and effort are the foundation of a great associate. We look forward to learning about how you see yourself in this role.