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Compliance Officer

Company: CCFBank
Location: Eau Claire
Posted on: February 13, 2019

Job Description:

POSITION SUMMARY: The Compliance Officer is responsible for developing, implementing and administering all aspects of the Bank's Compliance Management Program. This position plans, organizes, and controls the Bank's day to day administrative, lending and operational compliance activities; collaborates with the Chief Operating Officer in the overall administration of these directives for the Bank. Participates in various committees, audits and examinations. Supervises the responsibilities of the Bank Secrecy Act/OFAC staff and ensures compliance efforts are maintained on a daily basis. Conducts staff training related to new hires, compliance, customer service, and host and software computer programs. Advises the Board of Directors, Senior Management and Bank personnel of emerging compliance issues and consults and guides the Bank in the establishment of controls to mitigate risks. Ensures department activities run smoothly and efficiently by providing leadership, training and supervision. The position of Compliance Officer performs direct supervisory duties of assigned department staff and is required to be knowledgeable and skilled in all areas of the department. PRIMARY RESPONSIBILITIES: The following duties are primarily performed and which are essential for this position. Employees are expected to be able to perform each of these job duties satisfactorily and successfully to be qualified for the position. To perform this job successfully, an individual must be able to perform each duty satisfactorily. Other duties may be required and assigned. Develops, implements and administers all aspects of the Bank's Compliance Management Program; performs duties as the Bank's Committee chairperson; assists independent, state and federal regulator auditor inquiries; conducts risk assessments; reviews and writes compliance related policies and procedures; makes recommendations to the Board of Directors and Senior Management when appropriate; submits annual reports to the Board of Directors detailing compliance issues. Maintains a proficient knowledge of all applicable banking rules and regulations. Supervises and works closely with the Bank Secrecy Act/OFAC Officer, and other department or managers in developing short and long term compliance plans and programs for the Bank; conducts frequent meetings with management members. Works closely with and various branches and departments in identifying, defining, and remediating various risk-related issues in attaining established compliance goals as directed by the Board of Directors and Senior Management. Supervises major compliance activities of the administrative, lending and operational area of the Bank, including resources and facilities, products and services, and policies and procedures. Works closely with the Senior Management team; develops strategic plans, reviews reports; organizes plans and makes recommendations for major compliance initiatives involving functional changes within the Bank and budgets. Identifies and mitigates potential risk issues against the Bank; interacts with Bank personnel pertaining to such issues. Oversees actions of comprehensive self-testing, independent third party and regulatory audits; makes necessary preparations for such audits or exams; coordinates responses to external auditors and regulatory examiners; ensures deficiencies identified from such audits and examinations are corrected. Verifies the accuracy of APY and APR calculations for system, disclosure and advertising purposes. Ensures compliance with all applicable reporting and recordkeeping requirements. Ensures timely distribution of related materials and publications to designated personnel. Conducts compliance training presentations and exercises for all Bank personnel, including material presented to employees during the new hire orientation process. --- Consistently applies superior decision making techniques pertaining to inquiries, approvals and requests as they apply to existing policies and procedures, keeping within assigned approval limits and using these instances as learning tools for employee development. Assumes responsibility for special projects, gathers data and prepares reports for Senior Management, audits and other personnel. Plays a positive role in the development and growth of assigned department staff through excellent communication skills, both verbal and written, along with strong delegation skills assuring a highly cross-trained staff. Performs personnel actions including performance appraisals, disciplinary actions, and interviewing candidates for employment; supervises the daily activities of the department including, but not limited to, effective delegation of assignments, developing work schedules and providing necessary training. Processes, solves and answers complex customer transactions, problems or inquiries. Assumes responsibility for various department functions in the absence of staff members or in overload situations. Treats people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; accepts responsibility for own actions. Demonstrates knowledge of and adherence to Equal Employment Opportunity (EEO) policy; shows respect and sensitivity for cultural differences; educates others on the value of diversity; promotes working environment free of harassment of any type; builds a diverse workforce and supports affirmative action. Assures compliance with all Bank policies, procedures and processes, and all applicable state and federal banking laws, rules and regulations; adheres to Bank Secrecy Act (BSA) responsibilities that are specific to the position. MINIMUM EDUCATION QUALIFICATIONS: EDUCATION AND/OR EXPERIENCE REQUIREMENTS Four (4) year degree and/or minimum of five (5) years banking experience One (1) year banking experience General knowledge of Treasury Management processes LICENSES, CERTIFICATES, AND OTHER REQUIREMENT Must successfully pass criminal background check. Must successfully pass credit background check. DESIRED QUALIFICATIONS: Professional accreditation such as a Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), Certified Risk Professional (CRP), and Certified Anti-Money Laundering Specialist (CAMS) is preferred. MINIMUM KNOWLEDGE, SKILLS AND ABILITIES QUALIFICATIONS In order to perform the duties of the position (listed above) the following knowledge, skills, and abilities are essential for the Compliance Officer to possess. Advanced knowledge of Bank administration, lending and operations products and services; related state and federal laws and regulations, and other Bank operational policies and procedures. Experience, knowledge and training in progressively responsible compliance department operations, management and supervisory activities. Advanced knowledge of general accounting, payroll, budgeting, and related accounting and record keeping systems in a financial institution. Mastered knowledge of related state and federal banking compliance regulations, and Bank accounting policies and procedures Ability to manage time effectively, manage multiple projects, and complete work within established deadlines. Ability to deal with complex problems involving multiple facets and variables in non-standardized situations. Skill in computer terminal and personal computer operation; word processing, spreadsheet, and banking software programs. Ability to work the allocated hours of the position. MINIMUM LANGUAGE SKILLS QUALIFICATIONS In order to perform the duties of the position (listed above) the following language skills are essential for the Compliance Officer to possess. Ability to communicate effectively with other members of the staff, supervisor, and customers. Ability to communicate clearly and concisely in both written and verbal form. Ability to read banking policies and procedures; written instructions, general correspondence; etc. English skills (oral, written and comprehension) sufficient to effectively communicate with all internal and external customers. MINIMUM REASONING ABILITY QUALIFICATIONS In order to perform the duties of the position (listed above) the following reasoning abilities are essential for the Compliance Officer to possess. Ability to understand and effectively carry out verbal and written instructions. Organizational and time management skills needed to meet deadlines. Must have ability to work accurately with attention to detail. Ability to maintain confidentiality. Ability to prepare and maintain accurate and concise records and reports. MINIMUM MATHEMATICAL ABILITY QUALIFICATIONS In order to perform the duties of the position (listed above) the following mathematical skills are essential for the Compliance Officer to possess. Intermediate math skills; ability to calculate interest, commissions, proportions, and percentages; balance accounts; add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals; locate routine mathematical errors; compute rate, ratio and percent, including the drafting and interpretation of bar graphs. In evaluating candidates for this position, CCFBank may consider a combination of education, training, and experience which provides the necessary knowledge, skills, and abilities to perform the duties of this position. PHYSICAL AND WORK ENVIRONMENT: The physical and work environment characteristics described in this description are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations will be made to enable individuals with disabilities to perform the essential functions or as otherwise required by law. Employees needing reasonable accommodation should discuss the request with the employee's supervisor or Human Resources. PHYSICAL REQUIREMENTS This work requires the occasional exertion of up to 10 pounds of force; work regularly requires sitting, frequently requires standing, speaking or hearing, using hands to key, handle or feel and repetitive motions and occasionally requires walking, stooping, kneeling, crouching or crawling and reaching with hands and arms. Work has standard vision requirements. Vocal communication is required for expressing or exchanging ideas by means of the spoken word. Hearing is required to perceive information at normal spoken word levels. Work requires preparing and analyzing written or computer data and observing general surroundings and activities. Work has no exposure to environmental conditions. Work is generally in a moderately noisy location (e.g. business office, light traffic). WORK ENVIRONMENT Work is primarily in an office setting. Ability to travel between work locations. Nothing in this job description limits management's right to assign or reassign duties and responsibilities to this job at any time. The duties listed above are intended only as illustrations of the various types of work that may be performed. The omission of specific statements of duties does not exclude them from the position if the work is similar, related or a logical assignment to the position. The job description does not constitute an employment agreement or affect the at-will nature of the employment arrangement between the employee and company, and is subject to change by the employer as the needs of the employer and requirements of the job change.

Keywords: CCFBank, Eau Claire , Compliance Officer, Accounting, Auditing , Eau Claire, Wisconsin

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