Job Code
COMPSPE | Job Family
| Supervisory
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*Position is not eligible for remote work.
Job Summary | The Compliance Specialist will work closely with the Compliance Officer to help manage and oversee the Compliance Management System. This position will perform a variety of professional administrative tasks in support of the compliance function. |
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Essential Functions, Duties and Responsibilities include, but are not limited to: | - Conduct compliance monitoring reviews to evaluate the Bank’s adherence to consumer protection laws and regulations.
- Identify gaps in documentation, or potential areas of non-compliance, and suggest resolutions.
- Conduct follow-up reviews to determine if management has taken action to correct weaknesses identified in compliance reviews.
- Prior to loan closing, review and approve flood insurance calculation worksheets on loans subject to the requirements of the National Flood Insurance Program.
- Assist in the review and approval of advertisements, brochures, and other promotional material to ensure compliance with regulatory guidelines.
- Assist in preparation of quarterly management reports.
- Communicate and collaborate compliance matters with other departments as needed.
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Education, Experience and Qualifications | Education | Required/Preferred | Education Level | Description | Required | Post Secondary Degree or Certificate | General Studies, Business, or Finance | Preferred | Bachelors Degree | General Studies, Business, or Finance |
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| Years of Experience | Minimum | Comments | 3 – 5 years | 3 - 5 years of banking experience, specifically with knowledge of banking laws and regulations.
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| License / Certification | Required/Preferred | License / Certification | Description |
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| Additional Qualifications | - Computer skills, including proficiency with Microsoft Word, Excel, and Outlook
| - Ability to maintain a positive and professional attitude with other banking departments
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Core Competencies | | | - Ability to work as part of a team
| - Clerical and administrative skills
| - Oral and written communication skills
| - Ability to build collaborative relationships
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Working Conditions | Working Conditions | Indoors, environmentally controlled. Usual office working conditions. The noise level in the work environment is typical of most office environments with telephones, personal interruptions, and background noises. Possible full-time remote work. |
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| Travel Requirements | Requirement | Frequency | Travel not required. | Never or Rarely |
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| Mandatory Vacation | Mandatory vacation not required |
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Physical Requirements | Requirement | Frequency | Sitting (remaining in a seated position) | Constantly | Standing (remaining on one’s feet in an upright position without moving about) | Occasionally | Walking (moving about on one’s feet) | Occasionally | Lifting (raising or lowering an object from one level to another) | Never or Rarely | Carrying (transporting an object, usually by holding it in the hands or arms or on the shoulder) | Never or Rarely | Pushing/Pulling (exerting force upon an object so that the object moves away or toward the force) | Never or Rarely | Reaching (extending hand(s) and arm(s) in any direction, such as overhead, below waist, forward or lateral) | Never or Rarely | Keyboarding (entering text or data using computer keyboard or 10-key numeric keyboard) | Constantly | Pinching/Gripping (seizing, holding, grasping, turning or otherwise working with the hand(s) or fingers) | Occasionally | Stooping (bending downward and forward by bending spine at the waist) | Never or Rarely | Squatting/Crouching (bending body downward and forward by bending legs and spine) | Never or Rarely | Kneeling (bending legs at knees to come to rest on knee(s)) | Never or Rarely | Crawling (moving about on hand and knees or hands and feet) | Never or Rarely | Climbing (ascending or descending ladders, stairs, ramps) | Never or Rarely | Speaking (expressing or exchanging ideas by means of the spoken word to impart oral information to customers and to convey detailed spoken instructions accurately, loudly, or quickly) | Frequently | Hearing (the ability to hear, understand, and distinguish speech, either in person or telephonically) | Frequently | Near Visual Acuity (clarity of vision at approximately 20 inches or less) | Constantly | Far Visual Acuity (clarity of vision at approximately 20 feet or more) | Occasionally |
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| Additional Physical Requirements |
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