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Assistant Compliance/BSA Officer

4 months ago

Saratoga Springs, New York, United States Adirondack Trust Company Full time
Job DescriptionJob DescriptionThe Adirondack Trust Company Position Description

Job Title: Assistant Compliance/BSA Officer

Department: Compliance

Reports To: Vice President, Chief Compliance Officer

Grade Level: Officer

OUR MISSION STATEMENT:

ATC's objective is to provide a fair return to our shareholders while maintaining and enhancing our public image as a high quality, professional, ethical, and friendly place to conduct business. ATC's ability to prosper and grow as an independent financial services company is directly related to our reputation, maintaining a high level of public confidence, and properly servicing the financial needs of our market area.

SUMMARY:

The Assistant Compliance Officer will assist the Vice President, Chief Compliance Officer in the administration of the consumer compliance, BSA/AML/OFAC, Fair Lending, complaints, training, change management and CRA programs, including conducting monitoring and testing, drafting procedures, conducting risk assessments, and preparing reports for management, the Board and regulators.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

Assist in overseeing the Bank's Anti-Money Laundering (AML) Program and Procedures, including Bank Secrecy Act (BSA) and OFAC. Responsible for overseeing the Bank's day-to-day BSA and OFAC reporting and screening activities, including without limitation, CTR preparation, review of investigation of alerts and escalation, which may include the preparation of a SAR, reviewing new customer profiles and recommending risk ratings, updating existing customer profiles and risk ratings, reviewing OFAC/PEP/Negative news alerts and documenting findings appropriately.

Participate in change management activities throughout the Bank, including changes in regulations, products and services, key employees, information systems and the proper implementation of these activities. Monitor for regulatory changes and prepare summaries of same. Prepare and update change management matrices, draft and maintain current procedures, distribute compliance information and maintain change management documentation.

Assist in administering the Bank's compliance monitoring and testing program. Perform assigned compliance testing and prepare reports of results, prepare reports related to Fair Lending. Recommend and coordinate corrective action and prepare monitoring reports of same.

Assist in administering the Bank's complaint management and training activities. Analyze complaints and recommend and coordinate corrective action. Prepare reports related to customer complaints and compliance training.

Act as an advisor to staff and management to resolve compliance related issues and inquiries.

Assist in the creation and dissemination of new policies and procedures as well as updates to existing policies and procedures.

Participate in the update of the Bank's various compliance related risk assessments.

Assist in administering the Bank's CRA Program including collection of information and preparation of reports for periodic reporting.

Assist in administering the bank's response to regulatory compliance examinations.

*Other duties may be assigned.

SUPERVISORY RESPONSIBILITIES:

Assists the VP Chief Compliance Officer in the management of the Compliance Department and supervises the Compliance Analysts.

QUALIFICATIONS:

Each essential duty and responsibility provides the foundation for future performance at advanced levels at ATC. Evaluation, Communication, and Leadership Skills are requirements that are representative of the knowledge, skill, and/or ability required as detailed below:

Evaluation Skills: Ability to define problems, collect data, research, and investigate to establish facts, and draw valid conclusions. Ability to assess a condition, process, and procedure, recommend a course of action, and prioritize tasks. Ability to make and support sound decisions by logical means.

Communications Skills: Excellent written and verbal communication skills. Ability to effectively interact and respond to subordinates, coworkers, and superiors. Ability to read, analyze, interpret, and communicate findings and recommendations.

Leadership Skills: Work within a team recognizing each team member's skills and contributions; think and act calmly, logically, and rapidly under stress; express concerns, ideas, suggestions, and provide feedback including criticism clearly and succinctly to subordinates and management; ability to anticipate the expectations of management and regulatory agencies as well as upper-level management; begin and follow through with a plan or task independently and with limited guidance.

Confidentiality: Ability to maintain a high level of discretion.

EDUCATION and/or EXPERIENCE:

A 4-year degree preferred or a 2-year degree with 2-3 years' management experience in banking or financial related field. At least five years' direct regulatory compliance experience. Proficient knowledge of AML/BSA and consumer compliance requirements. Familiarity with bank systems and Microsoft Word, Excel, and PowerPoint. The willingness to earn CRCM or CAMS designation within two years in position.

PHYSICAL DEMANDS & WORK ENVIRONMENT:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Work may consist of high stress situations requiring quick turnaround. While performing the duties of this job, the employee is frequently required to sit and/or stand (with the extensive ability to move around) in a well-lit office for long periods of time. Talking and hearing skills are essential for communicating with inside and outside persons. The noise level in the work environment is usually moderate.

Adirondack Trust is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religious creed, sex, transgender status, gender identity, gender dysphoria, sexual orientation, national origin, physical or mental disability, protected veteran status, marital and familial status, domestic violence victim status, known relationship or association with any member of a protected class or other characteristics protected by applicable law.