Compliance Advisory Manager


Act as the regulatory compliance subject matter expert for the assigned enterprise business line.


  1. Review and sign off from a regulatory compliance perspective on materials associated with the assigned business lines. Work closely with legal to review, edit, create, and approve various documents.
  2. Conduct second line of defense compliance governance and oversight activities with respect to regulatory requirements for an assigned business line.
  3. Meet regularly with internal business partners to discuss Compliance Testing findings.
  4. Participate in Level I and 2 compliance findings remediation. Provide regulatory advice and guidance on open issues, ensuring that all items are completed as indicated and on time.
  5. Manage day-to-day Level I and Level 2 compliance and regulatory issues, e.g. how reports look, how documents are worded and how to build testing for a compliance regulation, for the assigned business lines covering Reg D, DD, E, UDAAP, E-Sign, Privacy and other regulatory matters.
  6. Support internal compliance audits and regulatory examinations. Gather documents, meet with auditors and regulators, update and maintain information in the appropriate repository including documentation, notes, etc.
  7. Manage quarterly Compliance Management System Dashboards as well as monthly status updates and follow up on outstanding items until closure.
  8. Provide advice on the development, maintenance and implementation of business standards, policies, and procedures for business line regulatory compliance.
  9. Partner with legal to ensure adherence with all applicable rules, regulations and standards.
  10. Prepare and present compliance reports to senior business leadership. Draft narratives, remediation steps, corrective actions and provide related data and graphs. Present findings to the executive leadership team and respond to questions.
  11. Build strong working relationships with internal staff e.g., business line leadership team, legal, corporate risk, internal audit teams, etc. Provide opinions on issues, respond to questions and concerns about what businesses may need to be aware of and actions they may want to take on regulatory concerns.
  12. Perform other related duties as assigned.





Other Qualifications:

"The Bancorp is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, religion, color, national origin, sex, sexual orientation, gender identity, age, status as a protected veteran, among other things, or status as a qualified individual with disability."

The Bancorp is an Equal Opportunity Employer

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