Counsel & Regulatory Compliance Manager

Job Title: Counsel & Regulatory Compliance Program Manager

Department: Legal & Compliance Department

Classification: Non-Exempt

Reports to: Chief Compliance Officer

Summary/Objective:

Provide legal and compliance support to the Chief Compliance Officer and Deputy Head of Compliance with

the management, formulation, implementation and monitoring of the Compliance Management Program to

ensure the Bank achieves optimum compliance with applicable regulatory requirements.

Essential Functions:

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential

functions.

1. Provide legal and compliance support to the Bank’s business lines and management.

2. Assist in the interpreting and monitoring of federal and state laws and regulations;

3. Manage the regulatory and corporate compliance monitoring and testing program.

4. Assist in reviewing documentation, notification and disclosures required by the consumer protection laws.

5. Manage the Bank’s regulatory change management program.

6. Assist in the coordination and participation of the product and service development process.

7. Assist in the administration of the Compliance Training Program.

8. Prepare management reports and risk assessments as necessary.

9. Assist in the review and preparation of legal contracts.

10. Manage legal process, including civil and criminal matters.

11. Coordinate with a wide range of internal and external lawyers.

12. Provide legal and compliance support to the business, compliance, senior management responsible for

responding to non-routine customer complaints, litigation, regulatory inquiries and exams.

13. Perform special projects and additional duties and responsibilities as assigned by the Chief Compliance

Officer or Deputy Head of Compliance.

14. Provide legal advice and support to the Chief Compliance Officer and Deputy Head of Compliance.

Competencies:

In order to perform the job successfully, an individual should demonstrate the following competencies:

Updated-Human Resources 20251. Knowledge of federal and state banking laws pertaining to consumer

protection, corporate compliance and

other applicable state laws.

2. Ability to understand and analyze laws and regulations.

3. Ability to read, analyze, and interpret general financial data.

4. Communicate issues to senior management in an effective manner.

5. Computer literate; fluency in Microsoft Office programs, especially Excel.

Supervisory Responsibility: N/A

Physical Demands:

This is largely a sedentary role, requiring use of typical office equipment such as a computer, laptop and cell

phone. Most work is completed in an office environment. Walking around the office and talking to employees

and supervisors is required.

Travel Requirements: Minimal.Required Education and Experience:

Juris Doctorate degree with at least 3+ years of legal or compliance experience in banking.

Additional Qualifications: Licensed to practice law in the State of New York.

Language/Communication Skills:

Ability to write reports, business correspondence, and procedure manuals. Ability to communicate effectively

with others. Bilingual in verbal and written Mandarin a plus.

Other Duties:

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties

or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may

change at any time with or without notice. It is understood and agreed that the employee may be required to

perform additional duties as assigned by the employee’s supervisor or Manager.