Banking Regulatory Compliance Director


Overview: The Banking Regulatory Compliance Director will ensure strict adherence to Know Your Customer (KYC/KYB) protocols and regulatory requirements for mandatory filings and reporting. In addition, this position is responsible for directing the overall organizational strategy, policies, and procedures to ensure compliance with current anti-money laundering (AML) regulations and other governmental anti-terrorist financing programs. The role involves implementing oversight systems, interdiction software, and audit processes to effectively monitor daily transactions and identify suspicious activity patterns. Exceptional knowledge of the latest financial regulations and best practices for risk management is essential for success in this position.

Key Responsibilities:

  1. Oversee the implementation and adherence to KYC/KYB protocols to mitigate risk and maintain regulatory compliance.
  2. Develop and execute comprehensive strategies to ensure compliance with BSA / AML regulations and anti-terrorist financing programs.
  3. Implement and maintain robust oversight systems, interdiction software, and audit processes for efficient daily transaction monitoring.
  4. Lead efforts to identify and investigate suspicious activity patterns, taking appropriate actions in accordance with regulatory requirements.
  5. Stay abreast of evolving financial regulations, industry trends, and best practices to inform compliance strategies and initiatives.
  6. Collaborate with internal stakeholders, including senior management, legal counsel, and risk management teams, to ensure alignment of compliance efforts with organizational goals.
  7. Provide guidance and support to staff members regarding compliance policies, procedures, and regulatory requirements.
  8. Serve as the primary point of contact for regulatory agencies and auditors, facilitating examinations, inquiries, and reporting as necessary.
  9. Monitor changes in regulatory landscape and proactively adjust compliance strategies and procedures accordingly.
  10. Conduct regular training sessions to enhance staff awareness and understanding of compliance requirements and expectations.


  1. 5-8 years' experience in a regulatory compliance role within financial services or fintech, with a focus on BSA / AML regulations and risk management.
  2. In-depth knowledge of relevant financial regulations, including but not limited to the Bank Secrecy Act (BSA), USA PATRIOT Act, and Office of Foreign Assets Control (OFAC) regulations.
  3. Professional certifications such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) highly preferred.
  4. Bachelor's degree in finance, accounting, law, or a related field. Advanced degree (e.g., JD, MBA) preferred.
  5. Strong analytical skills and attention to detail, with the ability to interpret complex regulatory requirements and identify compliance gaps.
  6. Excellent communication and interpersonal skills, with the ability to effectively interact with stakeholders at all levels of the organization.
  7. Demonstrated leadership abilities, with experience leading cross-functional teams and driving organizational change.
  8. Proficiency in relevant compliance software and tools, with the ability to leverage technology to enhance compliance processes and procedures.


Job Overview

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