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Requirement Build Out:
State law requirements
BK code
Securities & Brokerage
Ph2 laws.regs Bank
Applicability Matrix Revisions
Review all requirements in the Applicability Matrix and revise, where needed
Review all OCC guidance and reconcile the applicability matrix to ensure full coverage
EDUCATION / EXPERIENCE / CREDENTIALS
A. Years of Experience
7 or more years of full-time experience in compliance, audit, legal, finance or risk management
B. Education
Bachelors degree from an accredited college or university or equivalent experience required
Masters degree from an accredited college or university preferred
C. Certification
Professional certification such as CRCM, ACAMS, Privacy
Core Professional Knowledge - an indepth understanding of the following frameworks
Compliance Risk Policy, Standards and Procedures, Risk Management and Control Framework,
Compliance Management Program Framework, specifically as it relates to: Governance, Training, Risk Assessment, Corrective Action, Decision Making, Monitoring and Reporting.
Compliance Management Program and Compliance Decision Making Governance (CDMG)
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