VP Compliance Manager

Bofi Federal Bank San Diego , CA 92140

Posted 3 weeks ago


Born digital, Axos Bank has reinvented the banking model and grown to over $12 billion in assets since our founding in 2000. With a broad and ever-growing range of financial products, Axos Bank is rated among the top 5 digital banks in the country! Axos Financial is our holding company and publicly traded on the New York Stock Exchange under the symbol "AX (NYSE: AX).

We bring together human insight and digital expertise to anticipate the needs of our customers. Our team members are innovative, technologically sophisticated, and motivated to achieve.

Learn more about working here!

The Role

Compliance Programs

  • Lead initiatives of the Compliance Management System Program to include compliance reviews, loan level documentation, transactional testing on lending and banking products, risk assessments, issue management, complaints, data driven compliance & third party service provider monitoring, and regulatory change management

  • Oversight of scheduled loan level documentation reviews, regulatory change management communication, and transactional testing on all lending and banking products through focused and random sample basis. Assess the appropriateness of the existing review scope and develop new or enhance approach to increase effectiveness of the CMS Program & Regulatory Change Management Program. Participate and support in business unit touchpoint meetings, communicate results and any required action steps

  • Manages and monitors oversight of the Complaint Program, Compliance Training Programs, marketing and advertising collateral

  • Identify automation initiatives through data driven compliance monitoring to streamline processes, includes model validation, reporting and working with data analytics to identify business requirements and develop alerts. Review effectiveness of existing alerts and ensure timely completion

  • Participate in task force for the purposes of developing marketing campaigns, disclosures, new products, and customer facing or escalated regulatory questions. Address regulatory concerns as applicable and identify solutions. Provide response and/or guidance to the Business Units, vendors, etc.

  • Develop and/or own Management Directives and Policies for submission to Management/Board Committees. Serve as Compliance Coordinator providing guidance aligned with Policy requirements. Present & participate in Compliance Management Committe

  • Other duties as assigned

Planning & Development

  • Conducts compliance risk assessments, quality assurance reviews, compliance monitoring processes and company-wide compliance training covering high-risk activities

  • Participates in development and refinement of activities to enhance the Bank's compliance program


  • Analyzes, summarizes and communicates current regulatory and organizational compliance developments to Department Manager and coordinates with other team member efforts to ensure policies, procedures, forms and training meet all new and amended requirements and deadlines

  • Analyzes and communicates compliance requirements for new or revised products, services, systems to Business Units. Consults with legal counsel, regulatory agencies, vendors and compliance organizations, as needed

Regulatory Support

  • Supports Bank's efforts on all corporate compliance audits and Agency compliance examinations, including advance preparation, coordination of all information gathering between business units during the audit/exam and remediation actions

Are You A Fit?

  • Bachelor's degree preferably in business or related area, or equivalent business experience

  • Ten plus years working experience in banking/mortgage banking/audit/regulatory compliance

  • Experience at loan level documentation review and transaction analysis

  • Understanding of all lending compliance regulations to include CRA and Fair Lending

  • Understanding of banking regulatory, audit and compliance programs for deposit compliance as it relates to federally regulated banks

  • Must be flexible, able to work on multiple projects that may require restructuring due to shifting demands and changing priorities within a multi-billion dollar bank

  • Ability to identify and define problems with documentation, loan origination systems, internal processes and procedures; research and analyze information and various situations relating to data management issues

  • Must be able to recommend alternatives or solutions

  • Strong verbal and written communication skills to include presentation skills

  • Ability to work independently

  • Thinking outside the box problem resolutions

  • Personal computer skills must include proficiency in the use of Microsoft Windows and network environments

  • Microsoft Office products (WORD, EXCEL, VISIO, PowerPoint)

Apply directly for consideration as we are not using any outside agencies for any of our openings

Pre-Employment Drug Test:

All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.

Equal Employment Opportunity:

Axos Bank is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state and local laws.

Job Functions and Work Environment:

While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.

The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.

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VP Compliance Manager

Bofi Federal Bank