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5mo ago

SVP, Chief Compliance Officer

Merchants Bank of Indiana Carmel, IN

Carmel, IN

5mo ago Closed

Full time Banking Banking Regulations BSA

This position is no longer accepting applications (closed Apr 22, 2026).

Job Description

Location: Carmel, IN 46032

Role overview

The SVP, Chief Compliance Officer leads the organization’s compliance team and drives the enterprise wide compliance program across both banking and mortgage operations. The role ensures full adherence to federal and state banking laws, mortgage regulations, consumer protection requirements, and internal policies. As a trusted advisor to the executive leadership and the Board of Directors, the CCO provides strategic direction, regulatory insight, and risk mitigation recommendations to protect the company’s reputation and maintain operational integrity. The position emphasizes proactive oversight, timely issue identification and remediation, and consistent compliance with regulatory requirements to support clean audits and examinations, minimize consumer harm, and maintain well controlled products and processes. The CCO fosters a culture of compliance, equips business leaders with clear guidance, and delivers transparent reporting to executive management and the Board, safeguarding the company’s reputation, financial stability, and long term regulatory standing.

What success looks like after one year

Within the first year, the role will independently and confidently handle the following areas:

Key responsibilities

Enterprise Compliance Leadership
- Design, execute, and continually improve the enterprise compliance management system (CMS) for banking and mortgage lines.
- Serve as the primary liaison to federal and state regulators, including the FDIC, Indiana Department of Financial Institutions, and the CFPB.
- Provide regular reports to the Board of Directors and executive leadership on compliance risk, examination results, emerging issues, and key metrics.
Regulatory Compliance Oversight
- Ensure compliance with applicable regulations, including Banking and Mortgage rules:
  - Banking: BSA/AML, UDAP/UDAAP, EFTA, FCRA, FDCPA, GLBA, Reg B, Reg E, Reg CC, Reg D
  - Mortgage: RESPA, TILA/Reg Z, HMDA, ECOA, SAFE Act, TCPA, Fair Lending, and disclosure laws
- Monitor legislative and regulatory changes, assess impact, and lead organization wide implementation plans.
Compliance Program Development
- Oversee policies, procedures, training programs, testing and monitoring activities, complaint management, and remediation efforts.
- Develop and maintain risk assessment methodologies for banking and mortgage processes.
- Partner with business leaders to embed compliance controls into products, operations, and customer interactions.
CRA, Fair Lending & Consumer Compliance Strategy
- Provide executive oversight of CRA performance, fair lending risk, HMDA and CRA data integrity, and consumer protection compliance.
- Draft and update the organization’s CRA Strategic Plan as needed.
- Collaborate with business line leaders to establish goals under the CRA Strategic Plan and community development initiatives.
- Ensure robust fair lending analytics, data reviews, and targeted monitoring activities.
- Schedule and track Community Development service and investment activities through the MPACT program.
Regulatory Examinations & Audits
- Prepare the organization for regulatory exams, internal audits, and independent reviews.
- Coordinate exam activities, responses, documentation, and remediation efforts.
- Ensure timely resolution of findings and sustainable corrective action plans.
Risk Management & Governance
- Identify compliance risks and collaborate with senior leaders to implement mitigation strategies.
- Chair the organization’s Compliance Committee, whose membership includes key executive leaders.
Team Leadership
- Lead, mentor, and develop all Compliance team members.
- Establish performance goals, succession plans, and promote a culture of collaboration and accountability.

What we are looking for

Experience

12+ years of progressive compliance, risk, regulatory, or legal experience within the banking and/or mortgage industry.
Deep knowledge of federal and state banking and mortgage regulations.
Experience interfacing with regulators and managing examinations.
Prior leadership of a compliance function or large compliance team.

Skills & Competencies

Strong leadership presence with the ability to influence at all levels.
Extensive knowledge of regulatory frameworks and consumer protection requirements.
Strategic thinker with a practical, solutions oriented mindset.
Excellent communication, presentation, and relationship-building skills.
High integrity, sound judgment, and organizational awareness.

Core competencies

Executive Leadership
Strategic Risk Management
Regulatory Expertise
Operational Excellence
Ethical Decision Making
Change Management
Collaboration and Business Partnership

Education

Bachelor’s degree required; an advanced degree in Law, Business, Finance, or a related field is preferred.
JD or CRCM certification strongly preferred.

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6mo ago

Principal AML Compliance Advisor, AML -KYC Data Management

Capital One Chicago, IL

Chicago, IL

6mo ago Closed

$110k - $125k/yr Full time Advisor AML Anti-Money Laundering

This position is no longer accepting applications (closed Apr 18, 2026).

Job Description

Location: Chicago, IL 60695

Position Summary

Role: Principal AML Compliance Advisor, AML -KYC Data Management. Serving in a second-line-of-defense capacity, you help ensure that corporate initiatives and business processes align with applicable laws and regulations within the AML Program framework. You will contribute to delivering quality outcomes by supporting AML Advisory activities, offering guidance on regulatory requirements, updating policies and procedures, reviewing targeted or ad hoc training, advising on projects, and testing controls over regulatory obligations and monitoring, with guidance provided on identified risks.

Key Responsibilities

Provide effective challenge and guidance on compliance risks, supporting AML Advisors across various interactions and forum settings
Assist AML Advisory in applying regulatory requirements to the business, including new products, process development, control design and monitoring, remediation of compliance issues, and regulatory changes
Maintain consistency in messaging by documenting advisory decisions and determinations
Develop a solid understanding of applicable laws and regulations
Support the evaluation of Internal Audit, Regulatory Examinations, and self-identified issues for compliance impact
Assist AML Advisory by advising on process, procedure, and control adjustments to address compliance needs
Coordinate with internal and external bank personnel to complete program attestations required for external relationships
Maintain a strong understanding of the Compliance Risk Management Framework and relevant laws
Identify data trends that may indicate potential risk impacts
Assist in capturing, maintaining, and analyzing compliance data, interpreting results to ensure consistent Compliance Risk Management
Assist with updating AML-owned procedures

Required Qualifications

Bachelor's Degree or Military Experience
At least 3 years of regulatory compliance experience, or at least 3 years of risk management experience, or at least 6 years of experience in the financial services industry
At least 3 years of Anti-Money Laundering (AML) compliance experience
At least 3 years of Tableau software experience

Preferred Qualifications

Bachelor's Degree in Business Management, Compliance, Risk, Legal, Finance, Accounting, or a related field
4+ years of regulatory compliance experience, or risk management experience, or financial services industry experience
4+ years of experience in financial services, or AML functions, or compliance risk management, or AML project management
Previous experience supporting programs with senior leaders and external stakeholders
4+ years of experience with Tableau and SQL
Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification

Sponsorship

Capital One will not sponsor new applicants for employment authorization for this position at this time.

Salary Information

The annual salary range provided applies to full-time roles at the listed locations and reflects the amount Capital One is prepared to pay at the time of posting. Part-time roles will be prorated based on the agreed-upon hours.

Salary by Location

Richmond, VA: $109,900 - $125,400 for Compliance Advisory Specialist III
Chicago, IL: $109,900 - $125,400 for Compliance Advisory Specialist III
McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III
Plano, TX: $109,900 - $125,400 for Compliance Advisory Specialist I

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BSA Finance Jobs

SVP, Chief Compliance Officer

Principal AML Compliance Advisor, AML -KYC Data Management

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