Assistant Compliance Officer
3.
6 Michigan City, IN Michigan City, IN Full-time Full-time Estimated:
$57.
3K - $72.
6K a year Estimated:
$57.
3K - $72.
6K a year 13 days ago 13 days ago 13 days ago Job Overview The Assistant Compliance Officer will assist the Compliance Officer with the coordination and administration of the Bank's compliance management activities.
Serve as a resource to ensure the bank remains compliant with applicable laws and regulations.
Support all business units within the Bank by responding to compliance-related questions.
Complete compliance reviews of new marketing materials and perform compliance monitoring while recommending corrective action to resolve identified weaknesses.
Monitor customer complaints ensuring resolution is satisfactory, timely and documented.
Develop annual compliance training assignments for the Bank's advisors.
May supervise other Compliance advisors.
Principal Accountabilities Act as a resource and work with business units to resolve compliance-related questions in an efficient and professional manner.
Utilize available compliance websites, tools, regulatory guidance and mentors to determine best practice.
With minimal supervision, complete compliance audits based on the established audit testing schedule through the development of work papers and other materials that meet the department and professional practice requirements.
Anticipate and implement changes to the testing plans as a result of changes in the bank's business and regulatory environment.
Monitor customer complaints by utilizing the complaint tracking system, ensuring timely and complete resolution, and report complaints quarterly to Compliance Committee.
The Assistant Compliance Officer will participate in the training and oversight of the Compliance Analyst.
Represent the Bank to both internal and external customers in a courteous, professional manner in face-to-face, written and telephone communications.
Accountable for adherence to all applicable regulations, including Bank Secrecy Act (BSA).
Actively protect confidentiality of customer and account information.
Demonstrate Horizon Bank's commitment to the communities we serve through involvement in local organizations and events.
Duties Complete compliance-related research in a timely manner.
Complete compliance monitoring audits in accordance with established testing schedule with minimal supervision and review the work of the Compliance Analyst.
Communicate, monitor, document and ensure resolution of customer complaints.
Prepare reports and graphs for reporting customer complaints to the Compliance Committee and Audit Committee.
With oversight from the Compliance Officer, compile materials for Compliance Committee meetings and assist in conducting Compliance Committee meetings.
Develop annual advisor compliance training plans and report completion rates to the Compliance Committee.
Assist the Compliance Officer in updating the compliance and fair lending risk assessments.
Assist with implementation of regulatory changes.
Participate in ongoing skill, compliance, risk management and security training as required for the position and apply knowledge in daily tasks.
Other duties and projects as assigned.
Personnel Management Lead recruitment efforts and partner with Human Resources to recruit, hire, retain and develop a talented and diverse workforce.
Coordinate training for new hires and in conjunction with performance and developmental needs.
Monitor behavior and results to effectively coach and motivate team members to achieve service and sales goals.
Prepare and conduct scheduled performance evaluations.
Address and document performance issues.
Schedule employees, manage time off requests and approve weekly timecards.
Responsible for building and developing a successful team as well as staff retention.
Involve staff in planning, decision-making and process improvement.
Responsible for encouraging continuous enhancement of subordinates' knowledge and competencies to foster their successful career advancement.
Qualifications & Skills Bachelor's Degree preferred or equivalent work-related experience.
At least 5 years of prior compliance/audit and banking experience preferred.
Strong knowledge of regulatory agency guidelines and industry standards as they relate to bank loan and deposit accounts.
Ability to assess risk.
Exceptional organization, time management and follow-up skills.
Ability to effectively supervise other advisors.
Excellent interpersonal skills and ability to communicate effectively with customers, bank employees and outside service providers in person, on the phone and in writing.
Ability to follow detailed instructions and exercise sound judgement.
Must have proficient typing and computer skills, specifically Microsoft Word and Excel.
Ability to follow through on assigned tasks after receiving initial direction from supervisor.
Core Competencies Composure Interpersonal Savvy Developing Direct Reports and Others Organizational Agility Integrity and Trust Priority Setting Physical Requirements Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions in compliance with the Americans with Disabilities Act (ADA) Physical Demand:
Percentage of Time:
Communicate with customers, advisors and managers regarding banking transactions and issues.
Able to exchange accurate information with others.
90-100% Able to grasp, move and sort forms and papers.
90-100% Constantly operate a computer and other office machinery such as calculator, copy machine, fax machine, scanner, printer and telephone 90-100% Able to remain stationary at a desk for long periods of time 75-100% Regularly move about the office to access file cabinets, storage drawers and various office equipment Able to verify authenticity of financial instruments, forms, documents and signatures.
Able to verify identity of customers, vendors and service providers.
Able to observe actions of others to ensure safety and security of the facility.
75-100%.
Estimated Salary: $20 to $28 per hour based on qualifications.
6 Michigan City, IN Michigan City, IN Full-time Full-time Estimated:
$57.
3K - $72.
6K a year Estimated:
$57.
3K - $72.
6K a year 13 days ago 13 days ago 13 days ago Job Overview The Assistant Compliance Officer will assist the Compliance Officer with the coordination and administration of the Bank's compliance management activities.
Serve as a resource to ensure the bank remains compliant with applicable laws and regulations.
Support all business units within the Bank by responding to compliance-related questions.
Complete compliance reviews of new marketing materials and perform compliance monitoring while recommending corrective action to resolve identified weaknesses.
Monitor customer complaints ensuring resolution is satisfactory, timely and documented.
Develop annual compliance training assignments for the Bank's advisors.
May supervise other Compliance advisors.
Principal Accountabilities Act as a resource and work with business units to resolve compliance-related questions in an efficient and professional manner.
Utilize available compliance websites, tools, regulatory guidance and mentors to determine best practice.
With minimal supervision, complete compliance audits based on the established audit testing schedule through the development of work papers and other materials that meet the department and professional practice requirements.
Anticipate and implement changes to the testing plans as a result of changes in the bank's business and regulatory environment.
Monitor customer complaints by utilizing the complaint tracking system, ensuring timely and complete resolution, and report complaints quarterly to Compliance Committee.
The Assistant Compliance Officer will participate in the training and oversight of the Compliance Analyst.
Represent the Bank to both internal and external customers in a courteous, professional manner in face-to-face, written and telephone communications.
Accountable for adherence to all applicable regulations, including Bank Secrecy Act (BSA).
Actively protect confidentiality of customer and account information.
Demonstrate Horizon Bank's commitment to the communities we serve through involvement in local organizations and events.
Duties Complete compliance-related research in a timely manner.
Complete compliance monitoring audits in accordance with established testing schedule with minimal supervision and review the work of the Compliance Analyst.
Communicate, monitor, document and ensure resolution of customer complaints.
Prepare reports and graphs for reporting customer complaints to the Compliance Committee and Audit Committee.
With oversight from the Compliance Officer, compile materials for Compliance Committee meetings and assist in conducting Compliance Committee meetings.
Develop annual advisor compliance training plans and report completion rates to the Compliance Committee.
Assist the Compliance Officer in updating the compliance and fair lending risk assessments.
Assist with implementation of regulatory changes.
Participate in ongoing skill, compliance, risk management and security training as required for the position and apply knowledge in daily tasks.
Other duties and projects as assigned.
Personnel Management Lead recruitment efforts and partner with Human Resources to recruit, hire, retain and develop a talented and diverse workforce.
Coordinate training for new hires and in conjunction with performance and developmental needs.
Monitor behavior and results to effectively coach and motivate team members to achieve service and sales goals.
Prepare and conduct scheduled performance evaluations.
Address and document performance issues.
Schedule employees, manage time off requests and approve weekly timecards.
Responsible for building and developing a successful team as well as staff retention.
Involve staff in planning, decision-making and process improvement.
Responsible for encouraging continuous enhancement of subordinates' knowledge and competencies to foster their successful career advancement.
Qualifications & Skills Bachelor's Degree preferred or equivalent work-related experience.
At least 5 years of prior compliance/audit and banking experience preferred.
Strong knowledge of regulatory agency guidelines and industry standards as they relate to bank loan and deposit accounts.
Ability to assess risk.
Exceptional organization, time management and follow-up skills.
Ability to effectively supervise other advisors.
Excellent interpersonal skills and ability to communicate effectively with customers, bank employees and outside service providers in person, on the phone and in writing.
Ability to follow detailed instructions and exercise sound judgement.
Must have proficient typing and computer skills, specifically Microsoft Word and Excel.
Ability to follow through on assigned tasks after receiving initial direction from supervisor.
Core Competencies Composure Interpersonal Savvy Developing Direct Reports and Others Organizational Agility Integrity and Trust Priority Setting Physical Requirements Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions in compliance with the Americans with Disabilities Act (ADA) Physical Demand:
Percentage of Time:
Communicate with customers, advisors and managers regarding banking transactions and issues.
Able to exchange accurate information with others.
90-100% Able to grasp, move and sort forms and papers.
90-100% Constantly operate a computer and other office machinery such as calculator, copy machine, fax machine, scanner, printer and telephone 90-100% Able to remain stationary at a desk for long periods of time 75-100% Regularly move about the office to access file cabinets, storage drawers and various office equipment Able to verify authenticity of financial instruments, forms, documents and signatures.
Able to verify identity of customers, vendors and service providers.
Able to observe actions of others to ensure safety and security of the facility.
75-100%.
Estimated Salary: $20 to $28 per hour based on qualifications.
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