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JOB FUNCTION / SUMMARY:
Corporate Compliance Specialists work with the Compliance Manager to maintain an effective enterprise-wide compliance program ensuring regulatory compliance with applicable banking laws and regulations through regular compliance monitoring,; assures adherence of the bank's and when appropriate, holding company affiliates’ policies and procedures to federal and state laws and regulations by performing the following duties.
ESSENTIAL DUTIES & RESPONSIBILITIES:
- Provides first-line guidance and oversight to lines of business, relative to compliance with applicable laws, rules, and regulations.
- Performs compliance reviews in all pertinent areas of the Bank for procedures and compliance relative to the respective regulations.
- Maintains records of all internal testing of required banking, state and federal regulations.
- Prepares final compliance audit reports to inform the appropriate managers of exceptions, violations, or deficiencies.
- Follows-up on timely basis with appropriate managers for outstanding findings, comments, etc.
- Assists in reviewing and updating compliance policies, procedures, manuals, training materials and consumer disclosures.
- Assists with regulatory compliance training, as warranted.
- Provides support to all areas of the bank by researching and responding to compliance related inquiries or issues.
- Attends compliance, bank-related meetings, seminars and any other training sessions necessary to become proficient in compliance related areas.
- Assists in establishment of policies, procedures and practices in compliance with laws and regulations.
- Stays abreast of changes to federal and state banking laws and regulations affecting the management, operations and product offerings of the establishment.
- Coordinates with legal counsel and operating departments to ensure adherence to laws and regulations relating to new or revised products and services offerings.
- Coordinates, supervises and supports establishment's compliance-related programs, such as compliance training, compliance testing and reporting and records, with focus on deposit or lending regulations.
- Informs and advises management of conditions and status of establishment adherence to laws and regulations.
- Consults with and advises operating units and managers affected by compliance issues and regulatory requirements.
SUPERVISORY RESPONSIBILITIES:
None
MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:
- Bachelor's degree preferably in Finance, Business or related field
- Two years of related experience and/or training required.
- An equivalent combination of education and experience may be considered.
- CRCM Certification preferred, however, the incumbent is expected to study for and earn an acceptable regulatory compliance certification within the first 2 years of employment.
- Ability to write reports and business correspondence.
- Ability to effectively present information and respond to questions from groups of managers, clients, and/or regulators
ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS:
- Ability to travel if required to perform the essential job functions
- Ability to work under stress and meet deadlines
- Ability to operate related equipment to perform the essential job functions
- Ability to read and interpret a document if required to perform the essential job functions
- Ability to lift/move/carry approximately 10 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an “undue hardship” then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement.
Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.
