Senior Compliance Associate

Duties and Responsibilities

• Perform assigned reviews within prescribed timelines.
• Notify proper parties of identified errors and request corrections as necessary.
• Escalate systemic or pervasive issues to the Compliance Director for review.
• Complete and upload workpapers as prescribed by compliance procedures.
• Perform sampled review of monitoring to ensure that cited findings are accurate.
• Support the Compliance Director by aggregating findings quarterly.
• Disseminate monitoring reports as described in the Compliance Plan quarterly.
• Research and respond to questions posed by market, operational, and compliance staff.
• Aid compliance staff in researching questions which may require deeper analysis or indicate changes to policy/procedure and/or controls are necessary.
• Escalate complex questions and/or policy issues to the Compliance Director with recommended course of action for further review and analysis.
• Perform research as assigned and outline rules relevant to ensuring compliance.
• Draft a workpaper template incorporating rules and procedures/controls to be tested.
• Make edits as requested by the Compliance Director.
• Aid with implementation of new workpaper programs including answering questions related to the review from assigned Compliance Associates.
• Perform research as assigned.
• Aid with the development of a timeline and implementation plan.
• Participate with implementation team including attending all required meetings and performing all assigned tasks associated with the implementation plan.
• Assist Compliance Director with compiling data requested by examination and/or audit teams.
• Respond to questions from examiners and/or auditors related to monitoring assignments.
• Participate in projects assigned by the Compliance Director.
• Provide progress updates as requested.
• Complete assigned tasks within prescribed timelines.

Qualifications

• Bachelor’s degree in Business, Finance, or Accounting and/or the equivalent combination of education and relevant work experience
• Five to seven years of experience with compliance in a bank or financial services environment
• Strong understanding of regulatory compliance
• CRCM, CAMS, CFIRS, or APRP certifications are desirable
• Effective oral and written communication skills
• Effective organizational and time management skills
• Ability to effectively utilize computer technology with proficiency in software applications utilized by FCB including Jack Henry Silverlake, Encompass, Baker Hill, and the Microsoft Office Suite
• Ability to sit in front of a computer for extended periods of time
• Ability to travel, occasionally overnight