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Senior Compliance Manager Testing

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Description

Denver, CO – Must be local to Denver, CO

MUST HAVE: Knowledge and experience with compliance monitoring & testing concepts.

MUST HAVE: Understanding of corporate compliance requirements.

MUST HAVE: 8+ years of experience executing monitoring and testing functions in a banking institution, regulatory agency, or major consulting company

MUST HAVE: Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.

(Compliance based professional certification preferred.)

Salary: $125k-145k depending on knowledge, skills, abilities, experience, and location.

Sunflower Bank, N.A. is looking for an energetic, highly motivated individual to fill the position of a full-time Senior Compliance Manager Testing at our Denver, CO location.

Hybrid options available.

Summary

In support of the Bank’s overall compliance management systems (CMS), the Senior Compliance Manager - Testing engages with various business lines to assist with internal strategies and initiatives ensuring that bank programs, practices, and financial interests are maintained; as well as making sure that the Bank is complying with applicable federal and state laws and regulations.

The role will support the development and ongoing oversight of a sustainable compliance monitoring & testing program strategy and governance structures to ensure internal controls are evaluated for effectiveness. Additionally, the role will focus on the execution of our monitoring and testing engagements to validate the design and effectiveness of internal controls, perform control reporting and escalating of control issues, and validating adequacy of remediation taken to address reported issues.

The ideal candidate will possess and demonstrate knowledge and experience with compliance monitoring & testing concepts, including risk-based test planning, process and control design/operating effectiveness methods, issue validation, and use of advanced technology and data analytics techniques to perform real-time monitoring and periodic testing. The ideal candidate will also understand corporate compliance requirements (i.e. Financial Crimes Compliance, Sanctions, Trade, Anti Bribery & Corruption etc.).

Primary Responsibilities

Work closely with Compliance, Legal, Operations and other cross-functional teams to understand the overall business environment and be the point of contact for compliance monitoring and testing engagements from risk-based planning, designing test scripts, and executing against them
Support the development of a robust validation and testing plan to evaluate risk, monitor for compliance with rules, laws, and regulations, and use monitoring and testing to meaningfully improve process and control effectiveness
Use visualization techniques to display data and the results of analysis in clear forms that can be understood by non-technical readers and stakeholders, including reporting on periodic basis to functional leaders
Support an interactive program that provides stakeholders with insight into compliance trends, themes, issues, and root causes
Identify and evaluate emerging risks and present findings to functional leadership
Ensure risk assessments appropriately incorporate results of monitoring and testing
Provide support to the compliance program on other compliance initiatives as needed
Maintain effective communication channels with other groups, including other compliance leaders, during all facets of engagement, including issue resolution.
Acting as an agent for positive change with agility, adaptability, and flexibility
Takes ownership and executes on priorities to deliver results in a proactive and timely manner.
Perform the job in accordance with applicable industry laws and regulations as well as the policies and procedures established by the company.
Responsible for upholding Fair and Responsible Banking practices and Code of Ethics and Conduct guidelines.
Understand and participate in the Bank’s Community Reinvestment Act program.
Perform other duties as assigned.

Education / Experience

Communication experience, along with facilitation, analytical, and presentation skills
Experience collaborating with multiple technical and non-technical teams to deliver successful outcomes
Experience with applicable laws and regulations to transform requirements into monitoring or testing scripts, policies, procedures and/or training
Experience providing practical advice under pressure and prioritizing work
Bachelor’s degree or international equivalent (preferably in business, economics, finance, or management).
Ideally 8+ years of experience executing monitoring and testing functions in a banking institution, regulatory agency, or major consulting company with a particular focus on consumer compliance laws/regulations and industry rules that govern lending and loan servicing (ex: Reg Z, Reg X, FCRA, Reg O, FDPA, GSE requirements, etc.).
Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.
Successful experience of leadership, both in terms of people as well as projects and initiatives.
Interpersonal experience and experience collaborating with diverse teams to solve problems and manage through ambiguity
Compliance based professional certification preferred.

Sunflower Bank Benefits

Employees enjoy outstanding benefits, including:

401(k) Plan with 6% Match

Health/Dental/Vision Insurance

Company-paid Life Insurance

Tuition Reimbursement

Fitness Reimbursement

Paid Time Off

Volunteer Leave

Paid Holidays

Plus many more employee perks & incentives!

People choose to “bank” with us, but for those we serve, we’re more than a bank. We strive to be the financial backbone of their lives and we know that starts with our team.

If you qualify, apply online at www.sunflowerbank.com/careers.

You’ve never worked anyplace like Sunflower Bank!

EOE/AA: Minorities/Females/Disabled/Vets

Open until filled; early application encouraged. This vacancy announcement may be used to fill similar positions within 90 days.

If you are a California resident, you may be entitled to certain rights regarding your personal information, which is information that identifies, relates to, or could reasonably be linked with a particular California resident or household. Additional information about our data collection practices and location specific notices is available on our privacy policy.

Denver, CO – Must be local to Denver, CO

MUST HAVE: Knowledge and experience with compliance monitoring & testing concepts.

MUST HAVE: Understanding of corporate compliance requirements.

MUST HAVE: 8+ years of experience executing monitoring and testing functions in a banking institution, regulatory agency, or major consulting company

MUST HAVE: Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.

(Compliance based professional certification preferred.)

Salary: $125k-145k depending on knowledge, skills, abilities, experience, and location.

Average salary estimate

$135000 / YEARLY (est.)

min

max

$125000K

$145000K

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What You Should Know About Senior Compliance Manager Testing, Sunflower Bank

Sunflower Bank, N.A. is on the lookout for an enthusiastic and experienced Senior Compliance Manager Testing to join our dynamic team in Greenwood Village, Colorado. If you have over eight years of hands-on experience in compliance monitoring and testing within a banking institution or regulatory agency, then this might be the perfect role for you! As a Senior Compliance Manager - Testing, you will play a crucial role in supporting our compliance management systems, ensuring that our bank adheres to all federal and state laws and regulations. You’ll work closely with cross-functional teams, helping to develop a solid compliance monitoring strategy, evaluate risk, and conduct meaningful testing to bolster controls and processes. Your expertise in corporate compliance requirements and risk management will be invaluable as you gather insights and conduct evaluations that directly impact our operations. We value ingenuity and welcome ideas for using advanced technology and data analytics in real-time monitoring and testing. With a competitive salary ranging from $125k to $145k based on experience and qualifications, we offer a fulfilling career path with benefits like a 401(k) plan, health insurance, and flexible working options. If you are a proactive problem-solver who thrives in a fast-paced environment and are excited about making impactful changes within the banking sector, we would love to hear from you. At Sunflower Bank, you won’t just be another employee; you’ll be part of a team that values your ideas and contributions. So let’s grow together!

Frequently Asked Questions (FAQs) for Senior Compliance Manager Testing Role at Sunflower Bank

What qualifications are needed for the Senior Compliance Manager Testing role at Sunflower Bank?

To qualify for the Senior Compliance Manager Testing position at Sunflower Bank, candidates should possess a bachelor's degree in business, finance, or a related field, along with over eight years of experience in compliance monitoring and testing within a banking institution or regulatory agency. A strong understanding of corporate compliance requirements, excellent analytical and presentation skills, and experience in risk management is also essential. While a compliance-based professional certification is preferred, it isn't mandatory.