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Compliance Officer
2 months ago
SUMMARY
The Compliance Officer is responsible for developing, implementing and administering all aspects of the Bank’s Compliance Management Program. This position plans, organizes, and leads the Bank’s day-to-day administrative, lending and operational compliance activities including internal audit/review; collaborates with the Chief Executive Officer & Sr. Management staff in the overall administration of these directives for the Bank. Participates in various committees, audits and examinations. Conducts staff training related to new hires, compliance, customer service, and host and software computer programs. Advises the Board of Directors, Senior Management and Bank personnel of emerging compliance issues and consults and guides the Bank in the establishment of controls to mitigate risks.
ESSENTIAL DUTIES
1.Develops, implements and administers all aspects of the Bank’s Compliance Management Program; performs duties as the Bank’s Compliance Committee chairperson; assists independent, state and federal regulator auditor inquiries; conducts risk assessments, reviews and writes compliance related policies and procedures; makes recommendations to the Board of Directors and Senior Management when appropriate; submits quarterly and annual reports to the Board of Directors detailing compliance issues.
2.Maintains a proficient knowledge of all applicable banking rules and regulations.
3.Performs duties in coordination with the Bank Secrecy Act/OFAC Officer; conducts various quality control reviews and monitoring in the area of Bank Secrecy Act, USA Patriot Act, Anti-Money Laundering, OFAC and Customer Identification Program compliance using industry standard and regulatory guidance sampling methods to ensure the Bank’s compliance efforts are maintained on a daily basis.
4.Performs duties in coordination with the Community Reinvestment Act Officer and Sr. Management staff; establishing and encouraging participation ensuring the Bank maintains relationships with community based, charitable, and non-profit organizations; develops and implements programs to ensure the Bank meets the needs of the community and attains CRA compliance goals.
5.Performs duties as the Privacy Officer; ensures the safety and security of all customer information; restricts access to customer information only to personnel with a legitimate need for such information, both inside and outside the Bank.
6.Works closely with the Bank’s Sr. Management staff and various branches and departments in identifying, defining, and remediating various risk-related issues in attaining established compliance goals as directed by the Board of Directors and Senior Management.
7.Performs duties as the Risk Management Officer; ensures the Bank maintains an adequate and effective Enterprise Risk Management (ERM) program thus ensuring the Bank is in full compliance with all banking laws, rules, regulations, and internal policies, procedures and processes; promotes risk and regulatory compliance by identifying, quantifying, reviewing, evaluating, and measuring risk to ensure that all risk categories are identified and managed in accordance with regulatory compliance and audit requirements, approved risk tolerance, risk appetite and strategic plans approved by the Board of Directors.
8.Works closely with the Chief Executive Officer and Chief Financial Officer; develops strategic plans, reviews reports; organizes plans and makes recommendations for major compliance initiatives involving functional changes within the Bank and budgets.
9.Identifies and mitigates potential risk issues against the Bank; interacts with Bank personnel pertaining to such issues.
10.Verifies the accuracy of APY and APR calculations for system, disclosure and advertising purposes.
11.Maintains a Compliance Library for the Bank; ensures materials are current and available for use and reference.
12.Oversees actions of comprehensive self-testing, independent third party and regulatory audits; makes necessary preparations for such audits or exams; coordinates responses to external auditors and regulatory examiners; ensures deficiencies identified from such audits and examinations are corrected.
13.Develops and administers various forms to assure the use of correct and updated forms by Bank personnel.
14.Ensures compliance with all applicable reporting and recordkeeping requirements.
15.Ensures timely distribution of related materials and publications to designated personnel.
16.Conducts compliance training presentations and exercises with all Bank personnel, including material presented to employees during the new hire orientation process.
17.Consistently applies superior decision making techniques pertaining to inquiries, approvals and requests as they apply to existing policies and procedures, keeping within assigned approval limits and using these instances as learning tools for employee development.
18.Assumes responsibility for special projects, gathers data and prepares reports for Senior Management, audits and other personnel.
19.Processes, solves and answers complex customer transactions, problems or inquiries.
20.Answers telephones, answers questions and directs callers to proper Bank personnel.
21.Assumes responsibility for various department functions in the absence of staff members or in overload situations.
22.Treats people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; accepts responsibility for own actions.
23.Demonstrates knowledge of and adherence to Equal Employment Opportunity (EEO) policy; shows respect and sensitivity for cultural differences; educates others on the value of diversity; promotes working environment free of harassment of any type; builds a diverse workforce and supports affirmative action.
24.Assures compliance with all Bank policies, procedures and processes, and all applicable state and federal banking laws, rules and regulations; adheres to Bank Secrecy Act (BSA) responsibilities that are specific to the position.
25.Completes administrative tasks correctly and on time; supports the Bank’s goals and values; benefits the Bank through outside activities.
26.Performs the position safely, without endangering the health or safety to themselves or others and will be expected to report potentially unsafe conditions. The employee shall comply with occupational safety and health standards and all rules, regulations and orders issued pursuant to the OSHA Act of 1970, which are applicable to one’s own actions and conduct.
