Chief Compliance Officer

Develop and oversee an effective compliance program (including BSA/AML/OFAC and corporate/ regulatory compliance) that is in compliance with current industry best practices, regulatory guidance and requirements.

• Examine that the branch’s established policies, procedures and practices are updated to ensure compliance with laws and regulations, such as Bank Secrecy Act and USA PATRIOT Act.
• Review watch lists and watch lists alerts. Analyzes possible matches and takes appropriate follow-up actions.
• Investigate possible suspicious behavior and complete detailed documentation, and file SARs for BSA/AML-related activities as necessary.

Regulatory/ External Consultant/ Internal Audit examinations communication/support

• Liaise with regulators for examinations and with auditors for internal audit and external audits as the branch’s main point of contact.
• Facilitate contact with internal or external auditors during audits and regulatory examinations to provide requested information as well as interim consultation.
• Manage compliance-related engagements from inception to completion, including reviewing, revising engagement letter, SOW, master agreement, and/or NDA before onboarding vendors.

Assign training programs and conduct semi-annual compliance training to ensure all employees are educated on the latest regulations and processes.

Maintain an effective CDD/EDD risk rating and monitoring program to include initial and ongoing assessments, and reviews and analyzes unusual account activity.

Assist other ad-hoc projects in support of other departments, senior management, and Head Office, as needed.

Do you have experience in Transaction monitoring?, Strong communication and presentation skills in Mandarin

Compliance, regulatory and/or legal relevant experience, ideally from a foreign bank located in California State.

Strong knowledge and business experience of compliance and regulations including (but not limited to) DFPI, SEC, FinCEN, BSA/AML, Financial Promotions, and other Federal and State financial regulations

Specific relevant experience in regulatory reporting, distribution rules, and regulatory and compliance requirements

The ability to advise on regulatory changes and developments

Experience in drafting policies, procedures, and manuals, along with preparing reports for regulatory bodies and internal management

Experience in preparing for and leading successful regulatory / external consultant/ internal audit examinations

Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint

Pulled from the full job description

• 401(k)
• Health insurance
• Paid time off
• Dental insurance
• Life insurance, * 401(k)
• Dental insurance
• Health insurance
• Life insurance
• Paid time off