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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, ensuring adherence to policies and regulations while collaborating with key stakeholders across the organization. This position is essential for assessing the effectiveness of compliance initiatives through continuous evaluation and testing of transactions.

Key Responsibilities

Primary duties include, but are not limited to:

  • Acting as a compliance subject matter expert (SME) for designated business units, providing updates on regulatory changes and assisting in the implementation of necessary internal controls through training and support.
  • Managing the development and upkeep of compliance risk assessments, including regulatory applicability matrices and process risk control inventories, to gauge compliance exposure for new and existing products and services.
  • Conducting monitoring and testing activities as part of the second line of defense for assigned business units, adhering to established procedures and timelines.
  • Preparing detailed reports of compliance evaluations for presentation to senior management, while tracking control deficiencies and recommendations through the compliance issue tracking system.
  • Engaging in the enhancement of compliance procedures and controls based on ongoing monitoring and communication with business units.
  • Following up with internal partners to ensure the implementation and effectiveness of recommended actions.
  • Continuously reviewing the business unit's policies, procedures, and related documentation to ensure accuracy and compliance with applicable regulations.
  • Collaborating with business lines and marketing teams to ensure that promotional materials meet all regulatory and policy standards.
  • Investigating and responding to customer complaints related to compliance issues, utilizing the organization's complaint tracking system.
  • Developing training resources and participating in compliance training sessions to support the Compliance Learning & Development Specialist as required.

Additional Duties:

  • Assisting in the dissemination of compliance initiatives to stakeholders throughout the organization, including contributions to internal communications.
  • Supporting regulatory compliance training efforts, including the management of the computer-based training system.
  • Maintaining a thorough understanding of the organization's products, services, and associated risks.
  • Coordinating with regulatory agency examiners during audits and providing requested documentation.
  • Executing special projects as necessary.
  • Performing other related 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 6+ years in banking operations with a solid understanding of regulatory requirements.
  • In-depth knowledge of state and federal regulations.
  • Strong grasp of banking principles and operational procedures.
  • Exceptional organizational and time management skills.
  • Ability to thrive in a multi-tasking environment.
  • Excellent verbal and written communication skills, with the ability to engage effectively with all levels of staff.
  • Comprehensive understanding of banking policies and procedures.
  • Strong analytical and problem-solving capabilities.
  • Proficient in identifying issues and proposing effective solutions.
  • Ability to work independently with minimal supervision.
  • Strong computer skills, particularly in Excel and Word.
  • Familiarity with automated compliance monitoring systems.
  • Ability to interpret government regulations and legal documents.
  • CRCM certification (or similar) is a plus, but not mandatory.

Benefits

  • 401(k) plan with company matching up to 6%
  • Employee Stock Ownership Plan (ESOP)
  • Comprehensive medical, dental, and vision insurance
  • Flexible Spending Accounts (FSA)
  • Health Savings Accounts (HSA)
  • Life and AD&D insurance provided by the company
  • Voluntary life and AD&D insurance options
  • Short-Term and Long-Term Disability insurance at no cost to employees
  • Employee Assistance Program (EAP)

Physical Requirements

This role requires the ability to sit for extended periods, with limited walking and standing. All work is conducted indoors during standard business hours, with a moderate noise level in the work environment.