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#1965604 - 09/30/14 01:46 PM Compliance Staff
banker-12 Offline
Diamond Poster
Joined: May 2007
Posts: 1,240
What titles are used for the compliance staff? Compliance analyst, specialist? Individuals perform the reviews. We have a compliance officer.

thanks,

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General Discussion
#1965607 - 09/30/14 01:49 PM Re: Compliance Staff banker-12
Sunshine Lady Offline
Platinum Poster
Sunshine Lady
Joined: Apr 2014
Posts: 673
Compliance analyst
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Define Success on your own terms, achieve it by your own rules, and build a life you are proud of. Anne Sweeney

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#1965653 - 09/30/14 02:50 PM Re: Compliance Staff banker-12
Bullseye Offline
Platinum Poster
Bullseye
Joined: Jan 2004
Posts: 968
We have a Compliance Officer and a Compliance Specialist.

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#1965663 - 09/30/14 02:58 PM Re: Compliance Staff banker-12
DoS Offline
Gold Star
DoS
Joined: Apr 2012
Posts: 264
one state over
I am the Compliance Officer, one man show.
_________________________
CRCM

"Strip the Flesh, Salt the Wound" - Krieg

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#1965679 - 09/30/14 03:26 PM Re: Compliance Staff banker-12
bcompliance Offline
Diamond Poster
Joined: Sep 2014
Posts: 1,294
We have a Compliance Officer and a Risk Officer
_________________________
CRCM, CAMS

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#1965725 - 09/30/14 04:49 PM Re: Compliance Staff banker-12
CULady Online
Gold Star
Joined: Sep 2007
Posts: 496
WA
Ditto DoS. Except it's a one WOman show. smile

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#1965741 - 09/30/14 05:37 PM Re: Compliance Staff banker-12
NU Rhules Offline
Gold Star
NU Rhules
Joined: Mar 2011
Posts: 464
SE, Nebraska
I think it's whoever has the titles mandated by law and Regulation. If you do 'em all you probably have the longest title at the bank.

Compliance/CRA/BSA/AML Officer, OFAC, FACTA/Red Flag Officer

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#1965946 - 10/01/14 01:10 PM Re: Compliance Staff banker-12
P*Q Offline

Power Poster
P*Q
Joined: May 2001
Posts: 8,458
Somewhere
VP-Compliance, Compliance Manager and Compliance Specialist

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#1965958 - 10/01/14 01:22 PM Re: Compliance Staff CULady
JWills, CRCM Offline
Diamond Poster
JWills, CRCM
Joined: May 2013
Posts: 1,781
The Mitten State
Originally Posted By: CULady
Ditto DoS. Except it's a one WOman show. smile


Same here--I am the compliance department.
_________________________
Nonsense wakes up the brain cells.

--Dr. Seuss

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#1965966 - 10/01/14 01:29 PM Re: Compliance Staff banker-12
Rocky P Online
Power Poster
Joined: Jun 2003
Posts: 7,650
Florida
Hmmmm - at a $280M denovo I was a 3 person department (me, myself and I), with BSA, CRA, fair lending, some audit, liaison to regulators, auditors, and performed SOX and control testing on the side, and back-up for resetting passwords to the IT guru.

At the final interview, the CFO asked if I was willing to work half days. I said that would be great, then he said "pick whatever 12 hour stretch you want."

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#1966009 - 10/01/14 02:14 PM Re: Compliance Staff banker-12
JWills, CRCM Offline
Diamond Poster
JWills, CRCM
Joined: May 2013
Posts: 1,781
The Mitten State
Wow, how did you find time to go home?
_________________________
Nonsense wakes up the brain cells.

--Dr. Seuss

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#1966029 - 10/01/14 02:40 PM Re: Compliance Staff banker-12
Rocky P Online
Power Poster
Joined: Jun 2003
Posts: 7,650
Florida
He was kidding (at first), it actually evolved into a 7AM to 7PM task. That's when retirement looked better and better and better......

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#1966080 - 10/01/14 03:51 PM Re: Compliance Staff banker-12
ahkcompliance Offline
Diamond Poster
Joined: Sep 2008
Posts: 2,474
Midwest
I manage the whole compliance department of 1! My official title is VP/Compliance.

Other titles include, Fun Hater Officer.

I chose to put the VP title on my business cards.

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#1966175 - 10/01/14 06:04 PM Re: Compliance Staff banker-12
Always In Training Offline
Diamond Poster
Joined: Jul 2006
Posts: 1,115
Where the Green Grass Grows
VP Risk Management Officer

I'm now a 1 person department (CRA/BSA/Compliance), but I have a very supportive management that used to be a compliance and CRA officer. I used to have a Operational Compliance/BSA assistant, but she left to go shape the next generation of youngsters and teach high school math. Going through our cash and BSA logs everyday, I miss her SO much.

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#1966206 - 10/01/14 06:43 PM Re: Compliance Staff banker-12
HappyGilmore Offline
10K Club
Joined: Jun 2004
Posts: 19,844
Pulling people out of the ditc...
Chief Compliance Officer
Director of Corporate Compliance
Manager of Corporate Compliance
Senior Corporate Compliance Specialist
Compliance Specialist
Compliance Specialist II/Legal Liason
Compliance Department Chief Counsel
Compliance Department Attorney
_________________________
Providing alternative truths since the invention of time

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#1966786 - 10/03/14 01:19 PM Re: Compliance Staff banker-12
Aggs Offline
Diamond Poster
Aggs
Joined: Nov 2009
Posts: 1,331
Hoosier Country
I am currently a compliance specialist but the title is misleading as I was hired to run the show. But it's a long story and they had to appoint someone to be the official CO before I was even interviewed, so the general counsel is the CO on paper. I don't really care about titles and I joke with him that it's ultimately his responsibility. grin

My previous employer (big bank), we had:

Chief Corporate Governance Officer
Chief Compliance Officer
SVP, Senior Compliance Manager
VP, Corporate Compliance (this was me)
VP, Compliance Manager
AVP, Compliance Officer
Compliance Officer
Compliance Analyst
Compliance Specialist
Compliance Assistant

Job before that (small bank), we had:

VP, Chief Compliance and BSA Officer (me)
AVP, Lending Compliance Manager
HMDA Manager
BSA Specialist
_________________________
CRCM + CAMS = certified compliance nerd

Opinions expressed in these threads are my own and not my employer's.

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