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Compliance Charlie

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Persona name:
Compliance Charlie

Persona role:
Compliance Charlie works within financial institutions to ensure they are adhering to governmental regulations and laws. These officers work closely with upper management and banking staff to guarantee the institute's policies and procedures follow these rules. only accesses the platform to approve/deny posts that go through an approval group.
He is responsible to make sure the marketing efforts on all social media network is compliant.
He moderates all user-generated content in line with the moderation policy for each community.
Compliance Charlie works closely with the Chief Operating Officer (COO) in overseeing compliance procedures and might also advise on risk management.
Compliance Charlie researches, implements, and manages the areas of banking regulations and laws, banking policies and procedures, consumer protection, and public interest laws.

Job Title
Compliance Officer
Chief Compliance Officer
Head of Risk & Compliance
Compliance Advisor
VP Compliance Officer

Compliance Officer

Job description:
Overview:
This Compliance Officer role is responsible for oversight of Consumer & Small Business Banking lines of business support for conduct risk – inclusive of sales practices, insider threat, ethics, and internal fraud. Role will assess business risk, mitigation controls, monitoring, issues, and reporting.

Key Responsibilities:
Identify risk, existing controls, controls gaps, areas for improvement, trends, emerging risks, and overall recommendations
Supporting all conduct risk types for sales practices, ethics, insider threat, and internal fraud
Identify solution for complex lines of business with conduct issues
Identity solutions with front line management, with differing opinions and challenges
Provides advice and credible challenge to line of business senior management, conduct risk senior management, audit, and regulators
Interacts with senior business leaders, control function partners, audit, and regulators to foster transparency and awareness of conduct-related activities.
Provide risk expertise and issue resolution guidance for enterprise programs, projects and initiatives that represent a high level of conduct risk across the enterprise and/or large business lines to ensure timely resolution.
Evaluates key conduct risk metrics and identifies additional metrics/reporting needed for effective oversight

Qualifications:
The successful candidate will possess the below qualifications and skill sets:
7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management
Ability to escalate issues, identify and assess issues then make sound decisions
Ability to negotiate, influence, and collaborate to build successful relationships
Excellent verbal, written, and interpersonal communication skills
An active Certified Regulatory Compliance Manager (CRCM) designation
Ability to lead, develop, and execute oversight routines of Consumer and Small Business Banking lines of business
Ability to manage large bodies of work, with multiples lines of business, complex and shifting processes, multiple products, services, and routines, with large distributed employees and leaders;
Ability to own or contribute to problem solving and drive work to execution through validation.
Knowledge and expertise in allegations management programs;
Understanding of branch banking (branches), deposits, operations, call center and digital, small businesses and supporting routines


Company Information
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1
Company name
United States Bank
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Company size
Large Enterprise
3
Industry
Banking
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Demographic information
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Age
45+
2
Gender
Male
3
Income
70-150k
4
Education level
Bachelor’s Degree
5
Residential environment
Urban
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Personal quote
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“I provide operational and legal compliance services to over 275 employees. In addition, as chair of the firm’s Risk Committee, I work collaboratively with other members of the Committee to identify, prevent and mitigate firm business and compliance risks.”
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Biography

3
Compliance Charlie
4
Compliance with the external rules that are imposed upon an organization as a whole
Compliance with internal systems of control that are imposed to achieve compliance with the externally imposed rules.
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Professional goals
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Desire to apply strong industry knowledge, management experience and analytical skills, along with development and implementation abilities, in a regulatory compliance specialist position with the Company.
To contribute excellent management and problem solving skills in a position with a reputable company.
To advance within the Company and continue to apply analytical and developmental skills, as well as issue resolution abilities, as a regulatory compliance specialist.
To develop and implement efficient projects
2

Motivators

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Following FINRA and SEC rules
Staying Compliant
4

Challenges

5
Time consuming to review all social media posts
Keeping up with Updated Policies
Audit Reports
6

Sources of information

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Google⁠
American Marketing Association⁠
Forbes⁠
YouTube⁠
LinkedIn⁠
Twitter⁠
Facebook⁠
Apple News⁠
Business Insider
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