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Contact: Brittany Taylor recruiter@ptsgroup.com

Position Title: Deputy Chief Compliance Officer
SUMMARY
Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent compliance
partner to multiple Business Divisions and is responsible for ensuring that the Compliance rograms appropriately
addresses the regulatory ris!s relative to the Division"#nit$s business activities. %s a Compliance leader, &or!ing
&ithin the Compliance function, the Deputy Chief Compliance Officer &ill be actively engaged &ith multiple
businesses to provide compliance advice, monitoring and oversight of effective rograms. The incumbent must
have the ability to act as a Deputy in the absence of the CCO.
DAY-TO-DAY RESPOS!"!#!T!ES
'. (erve as a sub)ect matter e*pert, and support the +, Compliance team in e*ecuting its compliance
responsibilities.
-. %ssist in directing the overall compliance program and strategy for ./R0$( Compliance. %ssist &ith the
day1to1day management of the Compliance rogram for the +e& ,or! Branches, &hich includes the B(%"%02 and
O.%C Compliance rograms and Consumer Compliance rogram.
3. Recommend policies and partner &ith senior management to implement the ./R0$( compliance program.
4. rovide strong leadership, and develop Compliance staff.
5. rovide advice and guidance to management on the implications of compliance trends and issues affecting
the firm.
6. rovide support to and &or! &ith legal and business groups to interpret and e*ecute various regulatory
and overall compliance issues.
7. artner &ith ./R0 colleagues and build a coherent and effective +, compliance program.
8. /nteract &ith business teams and other staff to assist in resolving compliance issues.
9. %ssist on special pro)ects and ad hoc assignments.
$UA#!%!CAT!OS EEDED
:no&ledge of #.(. ban!ing business, such as commercial lending, private ban!ing, and correspondent
ban!ing. roficiency in B(%"%02"O.%C and consumer regulations re;uired <Reg B,D,=, .,O, ,#,>,%%,CC,DD,
etc?.
Technical S&ills:
@ 0ust be able to use various in1house soft&are compliance monitoring systems. roficient in 0( office.
Other Re'uire( Competencies
:
@ 0ust have effective interpersonal and customer relation s!ills.
@ =*cellent &ritten and oral communication s!ills.
@ (!ill in organiAing resources and establishing priorities.
@ (!ill in e*amining and re1engineering operations and procedures, formulating policy, and developing and
implementing ne& strategies and procedures.
@ Be fle*ible and adaptable to any situation.
@ 0ust have the ability to provide top1;uality, proactive, efficient and effective legal support in a fast1moving
environment. The ability to multi1tas! and &or! under deadlines is imperative.

E)perience ee(e(:
@0inimum 'B years e*perience in related ban!ing compliance and management. 0ust be able to assume the
responsibilities of the CCO in their absence.
E(ucation Re'uire(:
B% in a related discipline