Compliance Specialist III

2 weeks ago

Fort Worth, United States Simmons Bank Full time
It's fun to work in a company where people truly BELIEVE in what they're doing

We're committed to bringing passion and customer focus to the business.

Position Summary

The Compliance Specialist III works directly with Director of Compliance within the area of Regulatory and Consumer Affairs. As the first line liaison and subject matter expert for business units, the Compliance Specialist III provides regulatory guidance to assigned business units and maintain a quality culture of compliance. Compliance Specialist III works with the Compliance Policy team on compliance risk assessments, developing regulatory trainings for associates, issue management and conducting internal assessments. The Compliance Specialist III is required to be extremely knowledgeable and skilled in regulatory compliance matters.

Essential Duties and Responsibilities
  • Regulatory Knowledge: Subject matter expert and communication authority for issues needing attention or action by Business Unit leaders or Executive Management. Candidate must have thorough Knowledge of Compliance Regulations. Ability to understand and apply Banking regulations. Demonstrated ability to research, interpret, and apply rules, laws, regulations, and other regulatory guidance. As a second Line of Defense provide input relative on compliance and regulatory matters to lines of business and act as the first line liaison for business lines. Understanding and ability to apply Fair Lending, Fair Banking and UDAAP analysis.
  • Regulatory Change Management: Ability to oversee implementation of Regulatory Change Management. This includes communicate regulatory changes to first line of defense, assist in implementation of the said change. Identify risks and issues to Business Unit leaders and Director of Compliance and overseeing any required remediation.
  • Risk Assessment: Proven track record of Risk Management Skills. Thorough understanding of Compliance Risk Assessments. Ability to perform compliance risk assessments.
  • Policies & Procedures: The candidate must possess Policy & Procedure Development and Analysis skills. Assist business lines with developing and revising regulatory policies and procedures. Works with Business Unit leaders and Compliance team to develop effective risk control measures.
  • Issue Management: Ability to identify compliance risks and perform Root Cause Analysis. Track regulatory compliance issues identified by first lines, assist in remediation and report to Executive Management as needed.
  • Compliance Monitoring: Ensures first line monitoring, documentation, and risk control activities are performed in compliance with applicable laws and regulations. Communicates findings and recommendations to Business Unit leaders and Management as needed. Ensures accurate and timely completion of reports for Compliance Committee and Board.
  • Training: Ability to develop and deliver custom Regulatory training materials for first line of defense. This includes developing a strategic training plan for regulatory area taking into consideration strategy, approach, and timing of other regulatory training. Assists with training and development within department and seeks continuing education opportunities for business lines. Work with the Training department to ensure completion of required compliance training by associates.
  • Products & Systems: Collaborate with business lines on design, promotion and implementation of new product and services offering from a compliance perspective.
  • Consumer Complaints: Collaborate with business lines to perform root cause analysis and remediate issues identified via consumer complaints.
  • Advertisements: Oversee review of advertisement materials to ensure compliance with various laws and regulations.
Qualifications

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Candidate must be willing to perform other duties and responsibilities as assigned.

Skills
  • Ability to resolve issues with little to no guidance.
  • Ability to serve in a supervisory capacity.
  • Demonstrated effective conflict resolution skills.
  • Demonstrated keen investigative skills when reviewing large data or reports.
  • Understanding how to interpret large amounts of data and incorporate into conclusions.
  • Ability to draw conclusions involving critical thinking.
  • Ability to identify and organize the necessary resources to perform job tasks.
  • Demonstrated soft skills through showing initiative and taking personal accountability of personal growth.
  • Ability to receive constructive feedback and direction from peers, management, committees, or the Board.
  • Ability to evaluate processes and outcomes and communicate results.
  • Ability to present data or thoughts clearly through visuals.
  • Ability to express written complete concepts through report writing.
  • Ability to collaborate and develop relationships with peers.
  • Ability to effectively manage time and prioritize tasks.
  • Demonstrated strong and effective communication with peers and management.
Education and/or Experience
  • Bachelor's degree from a 4-year accredited university/college preferred.
  • 5+ years as a Bank Compliance Manager and/or Regulatory Bank Examiner
  • Last five to seven years' experience must be in regulatory compliance at a Financial Institution.
Specialized Training
  • Proven track record of Risk Management Skills
  • Ability to prepare reports, analysis and present at Compliance Committee
  • Ability to coach and mentor Compliance Specialist I and II.
Computer Skills
  • High level of proficiency with Microsoft Office (Word, excel, PowerPoint) and Teams.
  • Strong working knowledge of other computer systems such as Visio and keen interest in learning other systems such as PowerBI reports.
Certificates, Licenses, Registrations
  • Regulatory Compliance Certification, at minimum, CRCM, CCBCO or NCCO.
  • CRCM required or eligibility to pursue a CRCM in the next 12-14 months will be considered for Compliance Specialist II.


Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Activities, duties, and responsibilities may change at any time with or without notice.

Equal Employment Opportunity Information: Simmons First National Corporation and its subsidiaries are committed to a policy of equal employment with respect to a person's race, color, religion, sex, ancestry, sexual orientation, gender identity, national origin, covered veterans, military status, physical or mental disability or any other legally protected classifications. Simmons First National Corporation and its subsidiaries are committed to Affirmative Action Programs consisting of results-oriented procedures to ensure equal employment opportunities. These programs require positive action in lieu of neutral non-discrimination and merit hiring/performance policies.

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