Under general supervision and following established guidelines to provide support in the Bank’s Compliance Risk Management Program in compliance with all applicable laws and regulations, including Bank Secrecy Act, consumer protection laws, and other regulatory requirements.
- Coordinates an audit entrance & exit meeting, contacts & coordinates auditors for the Board Audit Committee meeting.
- Monitors the audit schedule, tracking logs for external & internal audit, SOX audit and regulatory examination, follow up with the business units response from the tracking logs
- Prepares the reports for Board Audit Committee.
- Updates, reviews and tracks the Vendor Management due diligence, contract, license etc
- Assists CRO for the Risk Assessment related to Audit, Vendor and Enterprise Risk Management.
- Monitors, tracks and reviews the monthly/quarterly/semi-annually/annually compliance certification from branches and business units, to ensure the compliance certifications are completed with validated information, report to supervisor any deficiency from compliance certification.
- Assists in projects related to the Bank’s compliance obligations functions.
- Prepares reports by collecting, analyzing and summarizing information for compliance monitoring review such as HMDA, Reg B loan tracking log, flood insurance tickler log and mortgage lending compliance etc.
- Completes department administrative duties.
- Performs other duties as assigned.
- Bachelor’s degree or equivalent is preferred but not mandatory
- Administrative experience required
- Minimum 3 or 4 years of experience in banking and knowledge of compliance regulation is preferred
- Excellent analytical, research, project management, and planning skills
- PC proficient
- Organized and detail-oriented; strong written and verbal communication skills
- Good knowledge of banking operations
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