Compliance Advisory Specialist

Summary

The Compliance Advisory Specialist, working within the Compliance Risk Management Team, is responsible for conducting assigned compliance risk management activities in support of the bank's Compliance Management Program (CMP) under the direction of the Director of Compliance Risk Advisory Services. Provides support in the administration of components of the bank's overall Compliance Management System (CMS), including complaint management, advertising and disclosure reviews. Provides administrative support to the Chief Compliance Officer and members of the Compliance Risk Management Leadership Team.

Primary Duties and Responsibilities

Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures and processes.

* Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto
* Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations
* Act as resource for personnel questions on compliance issues and assist with remediation or answers
* Maintain the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports
* Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted)
* Support tracking, monitoring, and reporting of compliance risks and related activities
* Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed
* Responsible for maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations
* Prepares reports by collecting, analyzing, and summarizing information
* Conducts and/or provides assistance on special projects, as required
* Assist with the design and delivery of consumer compliance-related training, as needed
* Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner
* Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies
* Processing invoices for payment
* Register Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education
* Create and/or update internal department procedures as necessary
* Prepare the Compliance Risk Management Team meeting minutes
* Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services

Supervisory Responsibilities

The incumbent is not responsible for the supervision of employees.

Competencies

To perform the job successfully, an individual should demonstrate the following competencies:

Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects.

Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics.

Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments.

Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information.

Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed.

Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role.

Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles.

Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives.

Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position.

Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities.

Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events.

Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals.

Qualifications

To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Education and/or Experience

At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable.

Computer Skills

To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines.

Bank Culture/Customer Service Skills

Ability and judgment to interact and communicate appropriately with other employees, customers and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank.

Physical Demands

While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus.

Mental Demands

Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions.

Work Environment

The noise level in the work environment is usually moderate.

This job description reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole discretion.

Origin Bank is an equal opportunity employer and we do not discriminate in hiring or employment on the basis of race, color, sex, age, marital or veteran status, non-job related disability, religion, national origin, genetic information or any other basis protected by law.