Senior Compliance Analyst

3 months ago

Michigan City, United States Horizon Bank Full time

Job Overview


The Senior Compliance Analyst serves 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.


Principal Accountabilities


Act as a resource and work with business units to resolve compliance-related questions in a helpful and professional manner. Utilize available compliance websites, tools, regulatory guidance and mentors to determine best practice. 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.

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


  • Maintain up-to-date compliance knowledge by attending webinars, teleconferences, seminars, conference calls, and reading compliance related periodicals.
  • Act as a compliance resource for all business units.
  • Assist with implementation of regulatory changes.
  • Complete compliance-related research in a timely manner.
  • Complete compliance monitoring audits in accordance with established testing schedule.
  • Recommend changes to Bank policies and procedures related to compliance requirements and laws.
  • Communicate, monitor, document and ensure resolution of customer complaints.
  • Prepare reports and graphs for reporting customer complaints to the Compliance Committee and Audit Committee.
  • Conduct and document periodic risk reviews and run reports as needed.
  • Develop annual advisor compliance training plans and report completion rates to the Compliance Committee.
  • Participate in ongoing skill, compliance, risk management and security training as required for the position and apply knowledge in daily tasks.
  • Participate in regular compliance calls to keep current with the banking regulatory environment
  • Communicate newly acquired compliance knowledge to ensure business units remain compliant
  • Other duties and projects as assigned.


Qualifications & Skills


  • Bachelor’s Degree preferred or equivalent work-related experience. At least 3 years of prior compliance/audit and banking experience preferred.
  • Knowledge of regulatory agency guidelines and industry standards as they relate to bank loan and deposit accounts.
  • Exceptional organization, time management and follow-up skills.
  • 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 judgment.
  • 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


  • Analytical Thinking
  • Overcoming Objections
  • Developmental & Continual Learning
  • Written Communication
  • Oral Communication


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

75-100%

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.

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