Compliance Specialist
Compliance Specialist
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Job Description
Job Description:
The Compliance Specialist supports employees with compliance inquiries reviews marketing materials for regulatory adherence and monitors consumer complaints. Regular duties also include assisting with compliance reviews across business units and managing daily administrative tasks within the department.
Qualifications: This person should have a bachelors degree and a minimum of one year of experience in a banking-related field preferably in areas such as compliance audit mortgage servicing lending or retail products. The individual must have strong communication skills along with demonstrated analytical and problem-solving skills. This position requires advanced knowledge of Microsoft Office applications.
Principal Responsibilities:
- Assist in providing guidance to all employees of the organization by responding to questions and inquiries regarding compliance related issues including researching and collaborating with internal and external compliance resources as appropriate.
- Collaborate with the designated Compliance Officer to help plan and conduct compliance monitoring reviews within established timeframes. Complete administrative tasks such as prepare working papers and detailed reporting of review findings and recommendations.
- Review proposed marketing materials ensuring compliance requirements are met and risk factors are adequately addressed.
- Assist with implementation of new or enhanced policies and/or procedures through research policy/procedure development and training.
- Assist in monitoring new and pending changes to laws regulations and guidance documents that may impact the compliance program.
- Support the facilitation of a comprehensive risk-based compliance training program for new and existing employees and serve as the Compliance team admin for the banks learning management system.
- Monitor complaint activity and work with business units to resolve consumer complaints investigate underlying root causes and identify opportunities to improve the customer experience.
- Support the compliance program by performing various administrative tasks such as organizing meetings and keeping meeting minutes monitoring and compiling periodic reporting creating workflows and guides and drafting memorandums.
- Lead or contribute to special projects as assigned by the Compliance Supervisor.
- Act in accordance with FBT policies and procedures as set forth in the employee handbook.
- Adhere to compliance procedures and participate in required compliance training.
Compensation Grade
Hourly Grade 4First Bank & Trust is an Equal Opportunity Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity or expression national origin disability or status as a protected veteran. Read our completeEqual Employment Opportunity Policy Statement. Applicants who would like to request reasonable accommodation to the application or interview process should call Human Resources at 800.843.1552 or email.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
