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Regulatory Compliance Specialist

2 months ago

Louisville, Kentucky, United States Stock Yards Bank and Trust Full time
Job Overview

The Regulatory Compliance Specialist plays a crucial role in overseeing the compliance management framework, which encompasses policies, procedures, monitoring, testing, consumer complaint resolution, and training initiatives. This position collaborates closely with key stakeholders within designated business units to assess and enhance the effectiveness of the compliance program through ongoing evaluations and transaction assessments.

Key Responsibilities

Primary duties include, but are not limited to:

  • Acting as the compliance subject matter expert (SME) for assigned business units, effectively communicating recent regulatory updates and trends to relevant functional areas, while providing consultation, training, and support for the implementation of necessary internal control modifications.
  • Managing the development and upkeep of compliance risk assessments, including regulatory applicability matrices and process risk control inventories, to evaluate compliance exposure for both new and existing products, services, processes, and third-party vendor relationships.
  • Conducting second line of defense monitoring and testing activities for assigned business units, adhering to established procedures and schedules, while also assessing first line of defense monitoring and testing within those units.
  • Preparing detailed reports of compliance evaluations for presentation to Board-level committees, and tracking control deficiencies, analyses, conclusions, and recommendations through the compliance issue tracking system.
  • Engaging in the development and enhancement of compliance procedures and controls based on routine monitoring and communication with assigned business units.
  • Following up with internal partners to ensure that recommended actions are effectively implemented.
  • Continuously monitoring the policies, procedures, forms, and job aids of assigned business units to ensure accuracy, currency, and compliance with applicable regulations.
  • Collaborating with assigned business lines and marketing teams to review promotional materials for adherence to relevant regulatory and policy standards.
  • Investigating, tracking, and responding to customer complaints related to assigned business units, particularly those with regulatory implications, utilizing the organization's complaint tracking system.
  • Developing training resources and participating in compliance training sessions to support the Compliance Learning & Development Specialist as needed.

Additional Responsibilities:

  • Assisting in the communication of compliance initiatives to partners across the organization, including contributions to the departmental newsletter.
  • Supporting regulatory compliance training-related activities, including the management of the computer-based training system.
  • Maintaining a comprehensive understanding of the organization's products, services, geographic operations, and associated risks.
  • Coordinating with federal and/or state regulatory agency examiners during examinations and providing requested information.
  • Conducting special projects as required.
  • Performing other duties as assigned.

Qualifications

The ideal candidate will possess the following qualifications:

  • Bachelor's degree in Business or a related field (or equivalent work experience).
  • A minimum of 1-3 years of experience in banking compliance or over 6 years in banking operations with a solid understanding of state and federal regulatory requirements.
  • In-depth knowledge of state and federal regulatory frameworks.
  • Strong understanding of banking principles and operations.
  • Exceptional organizational and time management abilities.
  • Capability to thrive in a multi-tasking environment.
  • Excellent verbal and written communication skills, with the ability to engage effectively with all employees.
  • Extensive familiarity with banking policies and procedures.
  • Strong analytical and problem-solving capabilities.
  • Ability to identify issues and propose effective solutions.
  • Capacity to work independently with minimal supervision.
  • Proficient in PC applications (Excel and Word).
  • Experience with automated compliance monitoring systems.
  • Ability to read, analyze, and interpret government regulations, trade publications, and legal documents.
  • CRCM certification (or similar) is advantageous but not mandatory.

Benefits

  • 401(k) plan with a company match of up to 6%.
  • Employee Stock Ownership Plan (ESOP) employer match.
  • Comprehensive medical, dental, and vision insurance.
  • Cancer and disease insurance options.
  • Accident insurance coverage.
  • Flexible Spending Accounts (FSA).
  • Health Savings Accounts (HSA).
  • Bank-paid Life and Accidental Death & Dismemberment (AD&D) insurance.
  • Voluntary Life and AD&D insurance options.
  • Bank-paid Short-Term and Long-Term Disability insurance.
  • Employee Stock Purchase Plan.
  • Employee Assistance Program (EAP).

Physical Requirements

The physical demands outlined here are representative of those that must be met by an employee to successfully perform the essential functions of this role. Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions.

This position primarily involves sitting, with limited walking and standing. All work is conducted indoors during regular working hours, and the noise level in the work environment is typically moderate.