Compliance Specialist
3 days ago
The Compliance Associate is a critical role within SNI Financial, responsible for ensuring the Bank's compliance with regulatory requirements and applicable policies, procedures, and practices. This position collaborates in the identification, measurement, and monitoring of compliance risks within the Bank, while also assisting with developing, implementing, and administering aspects of the Bank Secrecy, Anti-Money Laundering and Customer Identification Program.
Duties and Responsibilities:- Conduct research on federal and state banking laws and regulations to stay updated on changes and provide guidance on emerging compliance issues.
- Review and update the bank's policies and procedures to ensure overall compliance with regulatory requirements.
- Provide advice and guidance to management and employees on compliance matters and risks.
- Assist in the development and implementation of compliance programs, policies, and procedures to mitigate risks.
- Conduct internal monitoring reviews and report results to responsible department heads and Executive Management.
- Develop and facilitate training programs for bank staff on various banking regulations, including Retail, Lending, BSA, and CRA & Fair Lending topics.
- Assist with maintaining a Bank Secrecy, Anti-Money Laundering and Customer Identification Program, policies, and risk assessment.
- Conduct reviews and testing of customer data and documentation to ensure compliance and accuracy.
- Participate in the Compliance Committee and Suspicious Activity Evaluation Committee.
- Assist with scheduling compliance audits and providing results to Executive Management and the Board of Directors.
- Review advertising copy for accuracy and adherence to regulatory requirements.
- Coordinate with regulatory agencies for examinations and reviews.
- Review documents related to customer complaints and inquiries.
- Associate's degree in business, finance, or a related field.
- Basic knowledge of regulatory requirements within the banking industry.
- Strong communication and interpersonal skills.
- Ability to comprehend and respond to oral and written communications.
- Strong reasoning and critical thinking skills.
- Ability to organize and prioritize work, handle workload independently, and meet deadlines.
- Strong decision-making skills.
- Proficient in Microsoft Office suite.
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