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Chief Compliance Officer - BAM


Banc of California


Location

Santa Ana, CA | United States


Job description

Banc of California, Inc. (NYSE: BANC) is a bank holding company headquartered in Los Angeles with one wholly-owned banking subsidiary, Banc of California (the “bank”). Banc of California is one of the nation’s premier relationship-based business banks focused on providing banking and treasury management services to small-, middle-market, and venture-backed businesses. Banc of California offers a broad range of loan and deposit products and services through more than 70 full-service branches throughout California and in Denver, Colorado, and Durham, North Carolina, as well as full-stack payment processing solutions through its subsidiary, Deepstack Technologies. The bank is committed to its local communities by supporting organizations that provide financial literacy and job training, small business support, affordable housing, and more.

 

JOB SUMMARY:
Banc of California’s subsidiary, BancofCal Asset Management (“BAM”) is a Registered Investment Advisor (“RIA”). The Chief Compliance Officer (“CCO”) position is a Securities and Exchange Commission (“SEC”) designation, pursuant to the Investment Advisers Act of 1940, and reports directly to Banc of California’s SVP, Deputy Chief Risk Officer for appropriate segregation of duties. The CCO of BAM is responsible for developing, implementing and administering all aspects of BAM’s Compliance Management Program. This position plans, organizes, and controls BAM’s day-to-day and ongoing compliance related responsibilities and oversees compliance with all applicable laws and regulations as an RIA. This position will also assist in the operational administration of BAM as appropriate.
The CCO of BAM will develop, maintain BAM’s Compliance Management Program to provide reasonable assurance that operational controls are adequately implemented and operating as intended to comply with applicable federal and state regulatory requirements. This role will also provide guidance to related internal and external business partners and continually evolve the BAM Compliance Management Program. The CCO of BAM will formulate and administer necessary regulatory compliance training, including BAM new hire orientation.

Banc of California is an equal opportunity employer committed to creating a diverse workforce. All qualified applicants will receive consideration for employment without regard to age (40 and over), ancestry, color, religious creed (including religious dress and grooming practices), denial of Family and Medical Care Leave, disability (mental and physical) including HIV and AIDS, marital status, medical condition (cancer and genetic characteristics), genetic information, military and veteran status, national origin (including language use restrictions), race, sex (which includes pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, gender expression, and sexual orientation. If you require reasonable accommodation as part of the application process please contact Talent Acquisition Partner.

SALARY RANGE: $74,984.00 – 121,842.24; Exact compensation may vary based on skills, experience, and location. 


Job tags

Full timeLocal area


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