Western Alliance Bank

  • Compliance Testing Officer

    Req No.
    Western Alliance Bank
    Risk Management & Compliance
    Regular Full Time
  • Overview

    The position of Compliance Testing Officer is responsible for completing testing and validation of internal controls for general, deposit and lending compliance



    • Performs and documents assigned risk-based testing of controls, designs and effectiveness of internal regulatory compliance policies and procedures. Identifies issues, exceptions and patterns, researches and analyzes testing results or issues, and prepares written summary report of testing results and recommendations.
    • Works with the Compliance Department in identifying areas of risk and makes recommendations on operational improvements, processes for compliance, and quality assurance essential to mitigate risk. Seeks ways to assist the Bank in strengthening controls, remain compliant and improve efficiency.
    • Keeps knowledgeable about current banking, regulatory, and audit issues; maintains expertise in areas tested.
    • Performs other duties as required that are consistent with the goals, objectives, and responsibilities of the Compliance Department.
    • Attends Compliance Department meetings and provides input on topics of discussion.


    A Bachelor’s degree, preferably in business administration or finance from a college or university; or three (3) to five (5) years of related financial services experience; or the equivalent combination of education and experience.

    Experience in bank regulatory compliance testing and tracking as the second line of defense; or audit experience reviewing bank practices and records for regulatory compliance with established internal policies and procedures in any of the following:

    Loan processing/documentation, consumer lending or commercial lending including, but not limited to, the Equal Credit Opportunity Act, Flood Disaster Protection Act, Home Mortgage Disclosure Act, Truth in Lending Act and the Real Estate Settlement Procedures Act;


    Branch/Deposit Operations administration with Regulation CC Availability of Funds, Regulation D Reserve Requirements, Regulation E Electronic Fund Transfers, or Regulation DD Truth in Savings Act;


    Generalist operations including, but not limited to, Privacy, Advertising, Regulation W Transactions between Member Banks and their Affiliates, Regulation II Debit Card Interchange Fees, Community Reinvestment Act, UDAAP, ID Theft or Frau

    Knowledge of federal and state regulatory compliance regulations and bank policy, procedures, and compliance issues. Ability to read, analyze and interpret regulations as published by Federal (FRB, OCC, FDIC, CFPB) and state banking regulatory agencies, general business periodicals, professional journals, and technical procedures.

    Ability to provide concise, professional written documentation and recommendations for compliance testing results.

    Excellent interpersonal skills to ensure staff-related issues are handled in a fair, consistent manner.

    Excellent organizational skills, with the ability to complete projects in a timely manner.

    Excellent analytical and problem solving skills to ensure compliance issues are resolved effectively.



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