Florida Compliance & Risk Job Listings

Managing Director - Credit Risk Review - To 190K - Tampa, FL - Job 3353b63846060634499120

Workable

Managing Director - Credit Risk Review - To 190K - Tampa, FL - Job 3353b

Managing Director - Credit Risk Review – To $190K – Tampa, FL – Job # 3353b Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves! We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you. The Position Our bank client is seeking to fill a Managing Director - Credit Risk Review role in the Tampa, FL market. This position offers a generous salary of up to $190K and a full benefits package. Managing Director - Credit Risk Review responsibilities include: The primary objective of Credit Risk Review (CRR) is to conduct timely and independent assessments of the banki's credit exposures and credit risk. Results from CRR’s assessments are provided to senior management and Risk Committee of the Board of Directors. As CRR Advisor Senior you will join a highly skilled team providing independent assessments of commercial credit exposures. You may have responsibility of being a Reviewer in Charge. The Reviewer in Charge is responsible for the successful completion of a review engagement, including managing Reviewers, performing credit portfolio analysis, summarizing the results stemming from the review of credit files sampled as part of a review engagement. Your deep understanding of sound Commercial lending and credit risk practices will enable you to provide valuable insights and recommendations to drive effective credit risk management practices. The position requires robust credit knowledge and strong experience related to Commercial credit extension and management. 10-15+ years of Credit Risk/Credit Underwriting preferred. Strong verbal and written communication, in addition to ability to handle difficult conversations, are critical to effectively communicate with stakeholders. Job Description Analyzes file review activities for assigned business segment. Executes file review assessment on complex credit and credit related transactions, and demonstrates understanding of the inherent level and materiality of risk. Serves as an expert resource to the team. Correlates industry, economic, regulatory and other trends in the credit cycle. Provides expert insight and includes findings in the credit review assessment. Analyzes complex credit facility structures and underwriting processes within the context of credit policies. Validates scorecard risk ratings, testing and maintenance activities. Ensures understanding of portfolio issues, trends, and root causes in order to manage credit portfolios effectively. Analyzes output to support decisioning. Analyzes risk in assigned credit portfolios by reviewing relevant reporting and assessing trends. Provides expert analytical insight and assesses the risk organization's sufficiency to identify and manage forward looking risks. Identifies risk concentrations, systemic trends or issues. Completes work papers, issue tracking and follows up on exam findings. Participates in continuous monitoring for assigned portfolios. Independently prepares materials and supporting documentation, and conducts meetings with Line of Business representatives. Effectively communicates Credit Risk Reviews plans and objectives for reviews. Who Are You? You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future. You also bring the following skills and experience: Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position. Preferred Skills Analytical Thinking, Commercial Real Estate, Competitive Advantages, Consumer Lending, Credit Risk Management, Data Analytics, decision-making, Financial Operations, Portfolio Risk, Risk Appetite Analytical Thinking, Conflict Management, Credit Risk, Effective Communications, Loan Review, Organizational Governance, Regulatory Environment - Financial Services Work Experience Roles at this level typically require a university / college degree. Higher level education such as a Masters degree, PhD, or certifications is desirable. Industry-relevant experience is typically 8+ years. Specific certifications are often required. Instead of a degree, a comparable combination of education, job-specific certification(s), and experience (including military service) may be considered. Education Bachelors The next step is yours. Email us your current resume along with the position you are considering to: resumes@symicorgroup.com

Tampa, FL, USA

$190,000/year

Compliance Officer - Vice President63843476806531121

Workable

Compliance Officer - Vice President

Arena Investors, LP (“Arena”) is a global institutional asset manager that provides creative solutions for those seeking capital in special situations. With more than 180 people across eight global offices and operating in 20 countries, we often provide capital where others won’t. Arena is looking to expand the team through the addition of a senior Compliance Officer. In this role, this individual will work closely with the compliance team and have regular interface with staff throughout the organization. Reporting to the CCO, this position will be a broad generalist compliance role with full exposure across the business. Responsibilities: · Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940; · Support the CCO with FINRA broker-dealer requirements; · Monitoring of Client guidelines and restrictions; · Review of marketing materials; · Review of compliance policies and procedures; · Administration of firm (Investment Adviser and Broker-Dealer) annual compliance review (testing and monitoring); · Conflicts of interest review; · Code of Ethics administration (e.g. PA dealing, Gifts & Entertainment, Outside Business Activity, Political Contribution, etc.) via the StarCompliance platform; · Maintenance of restricted trading list and watchlist; · AML/KYC risk-assessment and due-diligence; · Service provider due-diligence; · Portfolio management review and monitoring (e.g. trade blotter, trade errors, best execution, allocation, principal/cross trades, etc.); · Regulatory filings oversight/co-ordination (e.g. Form ADV, Form PF, Form 13F, Form 13D/G, UK FCA filings, Singapore MAS filings, significant shareholder, etc.) · Keeping abreast regulatory developments; and · Ad-hoc projects. Requirements The individual will have demonstrated an ability to work in a fast-paced, performance-driven environment with an ability to think broadly about the business, incorporating continual improvement of processes and procedures with a goal of excellence while focusing on accuracy and efficiency. · 7 – 10 years of regulatory compliance experience at a SEC-registered investment adviser (primarily private credit exposure); · Experience with broker-dealer compliance (ideally Series 7 or Series 14 licensed); · Solid understanding of registered investment adviser and broker-dealer rules and regulations; · Familiarity with UK FCA and Singapore MAS rules and regulations; · Experienced reviewing marketing materials in line with SEC and FINRA rules; · Experienced conducting annual compliance reviews; · Experienced managing insurance clients; · Experienced administering regulatory filings with the SEC, FINRA, FCA, MAS and others; · Experienced handling MNPI processes (e.g. expert networks, Board seats, committee participation, NDA, etc.); · Ability to work independently, and balance multiple priorities; · Excellent organizational, oral and written communication skills; · Flexible and capable of prioritizing based on changing internal or external demands; and · Bachelor's degree required. Benefits Health Care Plan (Medical, Dental & Vision) Retirement Plan (401k, IRA) Life Insurance (Basic, Voluntary & AD&D) Paid Time Off (Vacation, Sick & Public Holidays) Family Leave (Maternity, Paternity) Short Term & Long Term Disability Training & Development Hybrid Schedule Free Food & Snacks Wellness Resources

Jacksonville, FL, USA

Negotiable Salary

BSA/AML Compliance Officer - To 90K - Tampa, FL - Job 325363393499312385122

Workable

BSA/AML Compliance Officer - To 90K - Tampa, FL - Job 3253

BSA/AML Compliance Officer – To $90K – Tampa, FL – Job # 3253 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & San Antonio, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves! We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you. The Position Our client is seeking to fill a BSA/AML Compliance Officer role in the greater Tampa, FL market. The successful candidate will be responsible for the implementation and management of effective Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) compliance programs for the bank ensuring compliance with all applicable regulations. The position offers a generous salary of up to $90K and a full benefits package. (This is not a remote position.) BSA /AML Compliance Officer responsibilities include: Leading and growing the BSA function at the bank. Assisting in growing and developing the Compliance Office with direct attention to the BSA, Security, and Internal Audit procedures and policies – including but not limited to the audit of loan files, security, and cash. Completing the BSA / AML Audits and addressing any related follow-up items. Serving as an internal auditor. Including, but not limited to, assessing operational risk at the branch level, cash counts, second reviews for new accounts, secondary post-closing reviews, etc. Providing follow-up and documentation for exception reporting. Maintaining a current thorough understanding of money laundering and terrorist financing issues, including policies, procedures, regulations, industry best practices, criminal activities and developing trends. Developing and delivering staff with BSA/AML/OFAC training. Identifying weaknesses in practice and procedure and recommending solutions that increase the level of compliance without unnecessarily burdening the business unit. Providing compliance assistance and information to all departments/functional units within the Bank. Who Are You? You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future. You also bring the following skills and experience: Bachelor’s Degree or equivalent experience. Two or more years of prior experience in regulatory matters is required. BSA/AML certifications are preferred. Familiarity with the Fiserv core system and reports is desirable. Working knowledge of Federal and State Anti-Money Laundering compliance statutes and regulations. Ability to read and interpret statutes and regulations. Ability to communicate effectively verbally and in writing. Proficiency in all programs within Microsoft Office. Ability to relate to individuals at all levels within the organization as well as with regulatory agencies and external contacts. The next step is yours. Email us your current resume along with the position you are considering to: resumes@symicorgroup.com

Tampa, FL, USA

$90,000/year

Sr. Compliance Officer - To 100K - Boca Raton, FL - Job 312263393479984001123

Workable

Sr. Compliance Officer - To 100K - Boca Raton, FL - Job 3122

Sr. Compliance Officer – To $100K – Boca Raton, FL – Job # 3122 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & San Antonio, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves!We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you.The Position Our bank client is seeking to fill a Sr. Bank Compliance Officer role in the greater Boca Raton, FL area. This role will be responsible for performing quality control reviews, including analyzing and reporting on all Bank regulations across all business lines to identify regulatory compliance weaknesses. They will also ensure that the Bank’s products and operations meet all applicable state, federal, and other regulatory requirements.The position includes a generous salary of up to $100K and an excellent benefits package. (This is not a remote position).Bank Compliance Officer responsibilities include: Implementing and maintaining all compliance policies and procedures for the bank. CRCM and/or CAMS designation is required. Working with bank personnel to ensure regulatory requirements are met for existing and proposed bank products and services. Assisting in the development of disclosures and procedures that meet regulatory requirements for new products and services. Developing, maintaining, and delivering training modules and working with business units to ensure appropriate regulatory training is conducted for all bank personnel. Serving as the point person for any customer complaints/inquiries that relate to compliance. Coordinating internal audit and regulatory exams, and serving as the liaison between examiners and bank personnel. Ensuring internal audit exams, and preparing bank to pass regulatory exams. Acting as a resource to bank personnel for compliance issues that relate to the bank’s activity including lending, deposits, marketing, and other matters. Chairing the bank’s compliance committee and maintaining records of the meetings. Maintaining and updating knowledge regarding bank regulatory matters. Able to take on other duties as needed. Who Are You? You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future.You also bring the following skills and experience: College Degree or equivalent work experience. Four or more years experience in legal/regulatory compliance of banking laws and regulations or related experience. Ability to identify and define problems; research and analyze information and various situations relating to data management issues. Ability to recommend alternatives or solutions. Demonstrated good verbal and written communication skills. Ability to discuss and offer alternatives or solutions to deposit compliance issues with any level of staff. General knowledge of accounting principles. This position requires the use of a personal computer and other standard office equipment. Working knowledge of complex database systems required. The next step is yours. Email us your current resume along with the position you are considering to:resumes@symicorgroup.com

Boca Raton, FL, USA

$100,000/year

Sr. Compliance & BSA Officer - To 110K - Jacksonville, FL - Job 338963392041478403124

Workable

Sr. Compliance & BSA Officer - To 110K - Jacksonville, FL - Job 3389

Sr. Compliance & BSA Officer – To $110K – Jacksonville, FL – Job # 3389 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves! We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you. The Position Our client is seeking to fill a Sr. Compliance & BSA Officer role in the Jacksonville, FL area. This role will be responsible for administration of the Bank’s regulatory compliance function. This position comes with a generous salary of up to $110K and full benefits package. (This is not a remote position). Sr. Compliance & BSA Officer responsibilities include: Responsible for administration of the regulatory compliance functions for the Bank. ∙ Serves in the capacity of Bank Secrecy (BSA)/Money Laundering Act (AML) Officer and Fair & Accurate Credit Transaction Act (FACT Act) Officer. Responsible for informing senior management of laws and regulations related to Bank compliance. Responsible for the development of the Bank’s compliance program. Draft and implement compliance policies and procedures. Ensure training is in place for staff based on job functionality in regard to compliance matters. Assist in investigations of suspicious or fraudulent transactions. Responsible for submission of annual HMDA lending reports. Review marketing material and advertisements to ensure compliance with regulations. Establish and monitor a schedule of compliance reviews. Prepare for regulatory compliance examinations and serve as the Bank’s contact during examinations and/or audits. Provide a high level of service; and ensure compliance with Bank policies and procedures. Who Are You? You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future. You also bring the following skills and experience: Minimum of 10 years’ experience in bank compliance. Bachelor’s degree and/or equivalent experience. CRCM or CAMS is preferred. The next step is yours. Email us your current resume along with the position you are considering to: resumes@symicorgroup.com

Jacksonville, FL, USA

$0-110,000