Deposit & Marketing Compliance Manager

Westbury, NY, United States - Corporate/Back-Office - Posted Oct 4, 2019
Requisition Number: 19000013

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The Deposit & Marketing Compliance Manager assists the Compliance Officer with the overall management of the Company’s compliance program by ensuring an effective, risk based Compliance Monitoring Program, relevant to the Bank’s retail deposit taking (e.g.: branches, online banking, etc.), retail back office operations and marketing functions appropriate to the size and complexity of the Company’s business practices.  Responsible for monitoring the retail deposit taking network, retail back office operations and marketing functions of the Company,  to ensure enterprise-wide compliance with all applicable state and federal laws, rules, guidance and regulations (i.e.: Consumer Complaints, D, E, DD, CC, UDAAP, CAN‑SPAM, E-sign, Sales Incentive Compensation and Privacy) and to address related compliance matters identified.  Manages Deposit and Marketing Compliance Oversight Unit staff.



Assists the Compliance Officer in identifying risks and emerging issues pertinent to the Company’s retail deposit taking, retail back office operations and marketing functions in all states by keeping abreast of all related federal and state laws, regulations, rules and/or guidance (“applicable law”). Performs an annual risk assessment for retail deposit compliance functions to determine the compliance monitoring schedule for the current year. Develops and maintains risk-based compliance monitoring programs to measure the Company’s compliance with pertinent applicable law. Reviews and tests the Company’s compliance with applicable law; make recommendations as necessary to improve/enhance the Company’s compliance posture; and provide reporting on the Company’s compliance with applicable law. Directs the unit’s employee(s) in the course of their daily work regarding the review of advertisements, consumer complaints, and regulatory compliance monitoring reviews and other assigned duties. Assists the lines of business in implementing remedial action, including administering compliance training as a result of compliance self-assessments, for any retail deposit compliance issues noted in conjunction with the compliance monitoring and perform periodic follow-up for outstanding retail deposit compliance issues and assist in ensuring that management is rectifying any such issues. Maintains collaborative alliance with the Regulatory Change Management Compliance Manager to ensure that appropriate risks identified are communicated so that the compliance program is adequately managed. Responsible for assisting with personnel related matters of the department including recordkeeping, timekeeping, annual staff reviews, promotions, vacation scheduling, etc. Liaises with federal and state examiners during compliance examinations. Represents the Compliance Department at examination meetings. Represents the Compliance Department at bank meetings. Participates as a member of the Company’s Compliance Committee. Participates as a member to the Company’s Compliance Steering Committee. Represents the Compliance Department on system conversion teams. Represents the Compliance Department on sales incentive meetings.
Performs special projects, and additional duties and responsibilities as required. Where applicable and when performing the responsibilities of the job, employees are accountable to maintain Sarbanes-Oxley compliance and adhere to internal control policies and procedures.



Bachelor’s degree preferred, in Finance or Business. Ten (10) years of relevant experience in Financial Services Industry or as a Regulator, with an emphasis on consumer compliance laws and regulations.

Comprehensive understanding of all federal and state bank compliance regulations related to deposits and marketing, as well as issues related to deposit products and services and marketing and the impact of bank compliance regulations on such. Proficient in Microsoft Office suite software, including but not limited to Word and Excel. Strong leader who displays the ability to supervise and provide direction to staff, delegate responsibilities appropriately and prioritize assignments. Strong analytical capability and the ability to identify potential concerns and recommend operational solutions. Excellent communication (verbal and written), organizational and follow-up skills. Exhibits the ability to work both independently and in a team oriented environment. Ability to communicate highly technical compliance related information. Ability to negotiate and collaborate with others, initiate action, adapt to change, make difficult decisions and accept challenging assignments.



Based in Westbury, NY, New York Community Bank is a New York State-chartered savings bank serving customers throughout Metro New York, New Jersey, Ohio, Arizona and Florida. At September 30, 2018, the Company had assets of $51.2 billion, deposits of $30.3 billion, and stockholder's equity of $6.8 billion.


New York Community Bank serves customers through over 250 branches featuring a divisional structure: Queens County Savings Bank, Roslyn Savings Bank, Richmond County Savings Bank, Roosevelt Savings Bank and Atlantic Bank in New York; Garden State Community Bank in New Jersey; Ohio Savings Bank in Ohio; and AmTrust Bank in Florida and Arizona. With a longstanding reputation of strength, stability and service, NYCB is proud to be committed to the communities it serves. To learn more about the NYCB Family of Banks visit us at


Branch Out and help recruit top talent for NYCB through the employee referral program. All NYCB employees are encouraged to submit referrals. Locate top talent right in the community where you live, work and play. Amazing individuals are all around. Be sure to let them know how they can become a part of the NYCB family.


NYCB is an equal opportunity employer that prohibits discrimination in hiring or terms and conditions of employment on the basis of race, color, age, sex, national origin, ethnicity, religion, marital status, disability, military status, veteran status, domestic violence victim status, gender identity or expression, sexual orientation, genetic information or any other classification protected by the federal, state, and local laws and ordinances.


This policy is applicable to all terms and conditions of employment including, but not limited to: recruitment and selection, promotion and demotion, transfer, training and development, compensation, benefits, leaves of absence and termination. When necessary, NYCB will reasonably accommodate employees and applicants with disabilities or with religious requirements necessitating accommodation.


In addition, NYCB complies with all applicable laws which govern nondiscrimination in employment in every location in which NYCB does business.

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