Compliance Supervisor

PangeaTwo; Birmingham (AL); On-site; USD 95,000 - 125,000; Full time

Job summary

PangeaTwo is seeking an experienced Compliance Supervisor in Birmingham, AL to oversee compliance with federal/state laws and industry requirements. The role reports to the VP, Risk and Assurance and will lead the Compliance Department in policy development, examinations, and staff development.

Ideal candidates have 5–7 years in financial services compliance, a Bachelor’s in Accounting/Finance (BSA Cert preferred), and strong analytical and communication skills to guide regulatory actions across

Qualifications

• Bachelor’s degree in a business-related field preferred.
• BSA certification or equivalent regulatory/compliance experience.
• 3–5 years of management or supervisory experience.
• 5–7 years in financial services with compliance focus.

Responsibilities

• Analyze current, new, and pending laws and regulations applicable to compliance.
• Identify compliance exceptions and recommend operational changes.
• Prepare periodic reports for management on compliance activities.
• Conduct annual reviews of organizational policies for continued compliance.
• Coordinate regulatory examinations and reviews (NCUA, ACUA, etc.).
• Supervise Compliance Department staff and evaluate performance.
• Provide ongoing training and development to department employees.

Skills

Team leadership

Regulatory compliance

Analytical thinking

Risk assessment

Communication skills

Education

Bachelor’s degree in Accounting or Finance

BSA certification

Tools

Microsoft Office Suite

Job description

Compliance Supervisor
$95K – $125K
Birmingham, AL

Our client is seeking an experienced Compliance Supervisor to oversee and promote compliance with applicable federal and state laws, regulations, and industry requirements across the organization. This position will assist with the development, implementation, and ongoing revision of policies, procedures, and internal controls designed to ensure regulatory compliance and mitigate organizational risk.

The Compliance Supervisor will monitor and analyze existing, new, and proposed laws and regulations to assess their impact on operations and recommend appropriate actions to maintain compliance. This role will also play an active part in coordinating and supporting regulatory examinations and reviews, serving as a key resource for compliance-related matters throughout the organization. The Compliance Supervisor will report to the VP, Risk and Assurance and may also receive direction from the President/CEO as needed.

Responsibilities

• Analyze current, new, and pending laws and regulations applicable to compliance
• Identify compliance exceptions, determine contributing factors, and recommend operational changes to reduce exceptions
• Prepare periodic reports to inform management of compliance activities, findings, and progress
• Conduct annual reviews of organizational policies to ensure continued compliance
• Assist departments with reviewing, revising, and updating procedures
• Coordinate and support NCUA, ACUA, and other regulatory examinations and reviews
• Serve as a resource to departments regarding compliance-related questions and requirements
• Assist with special projects and other compliance initiatives as assigned
• Ensure Compliance Department employees receive appropriate training and ongoing professional development
• Supervise Compliance Department employees, including assigning responsibilities, establishing performance expectations, monitoring deadlines, providing regular feedback, and completing performance evaluations
• Address employee performance and workplace conduct matters in accordance with organizational policies
• Manage Compliance Department staffing and employee time-off schedules
• Participate in interviews and selection of candidates for Compliance Department positions

Qualifications

• Bachelor’s degree in a business-related field such as Accounting or Finance preferred
• BSA certification or equivalent regulatory/compliance experience
• 3–5 years of management or supervisory experience
• 5–7 years of experience in a financial services environment with a strong emphasis on compliance
• Strong knowledge of financial institution compliance practices and regulations
• Understanding of regulatory requirements related to non-U.S. citizen identification documents, including Green Cards, Passports, and Visas
• Knowledge of business account documentation and associated risk red flags, including Beneficial Ownership Information (BOI)
• Strong understanding of record retention regulations and requirements
• Proficiency with Microsoft Office Suite, including Word, Excel, and PowerPoint
• Proven ability to lead a team, provide direction, and manage employee performance
• Advanced organizational and planning skills with the ability to manage multiple priorities
• Strong analytical and problem-solving abilities
• Ability to comprehend, interpret, and apply complex laws and regulations
• Excellent written and verbal communication skills
• Strong attention to detail and ability to identify compliance risks and recommend solutions

At our clients’ request, only individuals with required experience will be considered.

Please note: if you have recently submitted your resume to a PangeaTwo posting, your qualifications will be considered for other open opportunities. Your resume will never be submitted to a client without your prior knowledge and consent.