Compliance Specialist

4 weeks ago

West Des Moines, United States Watercress Financial Group LLC Full time
Job DescriptionJob DescriptionDescription:


JOB SUMMARY


As a Compliance Specialist, you will play a crucial role in ensuring that our organization adheres to all relevant laws, regulations, and internal policies. Your primary responsibilities will include conducting audits, developing compliance procedures, and providing guidance to employees on compliance matters. You will collaborate with various departments to identify potential compliance risks and implement effective strategies to mitigate them. Additionally, you will stay updated on industry best practices and regulatory changes to maintain our commitment to ethical and compliant business practices. This position is an integral part of the Compliance Program and will report to the Senior Compliance Officer while working across functional areas of the company to support established Compliance Program activities.


RESPONSIBILITIES

  • Conduct and assist with internal compliance audits and reviews. Perform monitoring and tracking of information related to audits, as well as tracking of completion of corrective actions of audit findings.
  • Assist with obtaining information for compliance risk assessments such as Bank Secrecy Act (BSA), Fair Lending, Privacy, and others.
  • Manage the compliance training online program, including assignment of courses, tracking of course completion by employees, and providing reports to managers.
  • Maintain monitoring of third-party due diligence reviews, obtaining information needed for reviews, and maintaining records of compliance.
  • Monitor the log of consumer complaints. Work with affected departments, as needed, to ensure timely resolutions.
  • Maintain recordkeeping for compliance policies, procedures, forms, disclosures, letters, and notifications.
  • Assist with creation of agenda, minutes, and supporting documentation and/or reports for Compliance Committee meetings.
  • Provide support for data gathering and responses to state regulatory compliance exams or third-party audits.
  • Develop and maintain a comprehensive knowledge of regulatory laws and requirements applicable to the company, and apply that knowledge and research abilities to business practices;
  • Monitor Compliance email inbox and forward emails to appropriate individuals or groups for action;
  • Assist Senior Compliance Officer in special projects as needed.

QUALIFICATIONS

  • Bachelor's degree, 2 years of banking compliance experience, or experience with the laws and regulations in other industries;
  • Experience in creating and maintaining records subject to review by auditors, regulators, or other third parties;
  • Knowledge of consumer protection laws and regulations a plus (TILA, ECOA, UDAAP, Privacy, FDCPA, FCRA/FACTA, BSA);
  • Strong written and verbal communication skills with the ability to clearly convey information to employees at all levels in the company in an understandable manner;
  • Ability to be a critical thinker, analyze data to solve problems and achieve goals;
  • Strong attention to detail and a high standard for accuracy;
  • Excellent organizational skills with the ability to effectively prioritize multiple projects and work independently to meet shifting demands and expectations in a fast-paced environment;
  • Excellent interpersonal skills with a service-oriented attitude and strong customer relations skills necessary to build productive professional relationships and cultivate a strong team environment; and
  • Proficiency with Microsoft applications including Word, Excel, PowerPoint, PowerBI and SharePoint.
Requirements:


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