Compliance Supervisor - SLC - Hybrid Schedule

Zions Bank recognizes that its success comes from the dedication, experience and talents of its diverse employee base. As we usher in the next generation of banking, we’re committed to being the premier employer of choice. We’re proud to have ranked among American Banker magazine’s “Best Banks to Work For” almost every year since 2013, as Best Employer from Utah’s Best of State, among the Best Places to Work in Idaho, and “among the Salt Lake Tribune’s Top Workplaces. Make the leap into a new era of banking. Let us transform your career.  

With benefits starting on day one, 12 bank holidays, profit sharing and company-matched 401(k) contributions, Zions is committed to career growth and advancement. At Zions, the possibilities are endless. You bring the talent; we bring the opportunity.  

Compliance risk is inherent in all bank products, services and activities, and the effective management of compliance risk is a fundamental element of effective enterprise risk management. The Compliance Assurance (CA) department within Compliance Risk Management, a second line of defense function, is launching a new Centralized Control Testing Program and hiring a new team member to supervise control testing and validation activities. We are looking for a Compliance Supervisor to join this new team.  They will be instrumental in ensuring Bank organizations consistently adhere to internal policies and regulatory standards.

Responsibilities:

Responsibilities include efficiently leading and implementing program objectives which include systematically analyzing, evaluating, and monitoring the effectiveness of compliance controls, identifying errors and potential risks, opening findings, providing recommendations for improvement, reporting test results on an ongoing basis, and acting as a liaison with stakeholders to build relationships, enhance risk management practices, and strengthen the control environment.

Specific responsibilities include the following:

• Responsible for supervising and coordinating the day-to-day compliance activities of the Centralized Control Testing Group (CCTG) and ensuring for the effective implementation of all program objectives.
• Assists with the creation of and changes to the program and associated policies, procedures, job aids, and trainings.
• Assists with the development, approval, and implementation of annual control testing plans.
• Responsible for monitoring, evaluating, and reporting program performance and providing business support on compliance issues.
• Responsible for all employment aspects of the CCTG downline, including hiring, goal setting, staff development, performance assessment, counseling, and termination.
• Assists with reviewing, analyzing, evaluating, and determining control applicability to regulatory authoritative sources, business processes, and procedures.
• Works closely with key stakeholders to ensure controls align with the Bank’s Enterprise Control Management Program (ECMP) and accompanying standards.
• Review and assess root cause of significant control failures and perform associated post event monitoring and reviews as needed.
• Communicate feedback to control owners, process owners, and management regarding errors and other such control deficiencies. As needed, assists with resolving stakeholder concerns.
• Assists with the opening of compliance risk findings, establishing relevant and meaningful remediation plans, and monitoring managements completion of such activities.

Job Qualifications:

• Requires a bachelor’s degree 
• 4 years of compliance, risk management, control testing, auditing, supervisory or other directly related experience.
• Strong interpersonal, critical thinking, problem resolution and analytical skills required.
• Must have excellent presentation and communication skills, both verbally and written.
• Ability to effectively build relationships, work on cross-departmental teams and engage with senior management.
• Knowledge of business process analysis and workflow is preferred.
• Experience working with banking applications and data in a reporting capacity is preferred.
• A combination of education and experience may meet qualifications.

Benefits:

• Medical & Dental Insurance & Vacation & Profit Sharing - START DAY ONE!   
• 401(k) plan, competitive compensation in line with work experience.   
• Most roles eligible for sales bonuses monthly incentives and/or annual discretionary bonus, some roles include mileage travel time pay, and/or parking waivers (must meet eligibility requirements  
• Paid Training, Paid Vacation, Paid Holidays, and promotional opportunities offered from within  
• Tuition Reimbursement for qualifying employees  
• Stable Employer, we are a division of Zions Bancorporation and included in the S&P 500 & NASDAQ Financial 100 indices