Compliance Assistant

Job Summary

The Compliance Assistant provides administrative and operational support to the compliance department to assist in ensuring the bank adheres to federal and state guidelines, as well as internal policy and procedures.

Essential Functions

• Remain current on federal and state laws and regulations pertaining to the banking industry.
• Review loan and deposit files to ascertain levels of compliance within the Bank.
• Assist in handling denials.
• Assist in monitoring duties.
• Assist the Bank Secrecy Act Officer with monthly alerts.
• Assist the Compliance Officer in the implementation of new regulatory requirements as they become effective.
• Assist in performing regulatory research using internal and external resources as required.
• Assist in preparing materials for various audits, as well as tracking exceptions through their resolutions.
• Assist in gathering information and completion of reports for various departments and committees.
• Assist in logging legal process documents.
• Assist the Bank Trainer to facilitate training for employees in compliance requirements and how to comply with these requirements.

This list includes the current primary responsibilities of this position. It is not intended to be all-inclusive and is subject to change, as needed, for the purpose of operational efficiency.

Position Requirements

• High school diploma or equivalent
• Financial institution experience is preferred but not required
• Intermediate Microsoft Office
• Shows initiative and willingness to continuously learn, and prioritizes accuracy in work product
• Ability to work independently and exercise sound judgment.
• Manages expectations and remains accountable while listening actively and valuing diverse perspectives
• Results-oriented and strive to consistently follow through on assignments and commitments
• Ability to communicate effectively via email, in person, and one-on-one
• Ability to present information professionally and clearly