Western Alliance Bank

  • Non-Consumer Lending Compliance Officer

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

    The position of the Non-Consumer Lending Compliance Officer is responsible for completing monitoring of internal controls for non-consumer lending operations compliance regulations in areas such as the Equal Credit Opportunity Act, Flood Disaster Protection Act, and the Home Mortgage Disclosure Act.



    • Conducts monitoring to evaluate the effectiveness and adequacy of policies, procedures and systems of supervision designed to achieve compliance with applicable regulatory requirements.
    • Prepares reports summarizing the results of compliance monitoring activities for each function reviewed.
    • Follow-up on action plans to verify that corrective action has been effectively implemented by the Lines of Business.
    • Analyze and report trends detailing compliance-related process gaps.
    • Assists the Compliance Officer II in the completion of the quarterly Compliance Reports.
    • Assists in providing regulatory research and technical support in the area of specific regulations.
    • Assists in the updating of policies and procedures for the Compliance Manual.
    • Assists with ensuring Lines of Business adhere to the Bank’s policies and procedures and act as a knowledge resource for all compliance-related matters.
    • Assists in gathering audit and regulatory compliance examination requests for documentation.
    • Assists with projects involving information disclosure, mergers & acquisitions etc.
    • Performs other duties as required, consistent with the goals, objectives, and responsibilities of the compliance department.


    • Bachelor’s degree preferably in business administration or finance from a four-year college or university; or three (3) to five (5) years’ experience in loan processing/documentation, consumer lending or commercial lending; or an equivalent combination of education and experience.

    • Knowledge of related state and federal banking lending compliance regulations including, but not limited to, the Equal Credit Opportunity Act, Flood Disaster Protection Act, and the Home Mortgage Disclosure Act.

    • Experience in bank regulatory compliance monitoring and tracking as the second line of defense.

    • Knowledge of Bank lending policies and procedures, and the Bank’s products and services.

    • 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 monitoring 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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