• Assist in the maintenance of the compliance monitoring program protocols and standards.
• Determine the quality and completeness of monitoring activities conducted by the first and other second line of defense areas.
• Perform quality assurance of the compliance monitoring conducted by the first line of defense as required by the monitoring standards.
• Verify that all periodic monitoring conducted by the First Line of Defense is occurring adequately and at the proper frequency.
• Draft monitoring metrics, including KPIs and KRIs related to the overall compliance program and the movement and direction of risk.
• Verify that any data being utilized for KPIs and KRIs is reliable, accurate, current, and complete.
• Assist the Monitoring and Reporting Team in analyzing monitoring activities to identify trends and emerging issues that may impact the bank or require changes to the Enterprise Compliance Testing Plan or the Compliance Risk Assessment.
• Maintain knowledge of and adhere to all applicable internal compliance policies and procedures and other internal policies and procedures applicable to the role and the impact they may have on the monitoring program.
• Collaborate and foster good relationships with Compliance Testers, Compliance Advisors, First Line of Defense Monitoring teams, other strategic partners, and business stakeholders.
• Contribute to the continuous improvement and update of the overall monitoring process.
• Demonstrate core behaviors and values including teamwork, focus, drive, determination, and professional courtesy.
• Participate in other testing activities including, ad-hoc testing, special projects, etc., as required.
• Complete all required compliance and other firm required training.
• Ensure proper engagement with areas supported to respond to any audit or regulatory review-related matters or inquiries.
• Maintain compliance with applicable federal, state and local laws and regulations.

ADDITIONAL ACCOUNTABILITIES

• Performs special projects, and additional duties and responsibilities as required. 
• Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. Accountable to maintain compliance with applicable federal, state and local laws and regulations.

Required Qualifications:

• Education level required: Bachelors Degree or equivalent work experience
• Minimum experience required: 5 Years of Financial Services experience, preferably at least half of those years in Compliance Testing, Internal Audit function or a financial services consulting firm (i.e. PWC, E&Y, Grant Thornton, other) with regulatory compliance testing or monitoring as an area of focus.

Preferred Qualifications:

• CRCM, ACAMS, or Securities Licenses preferred but not necessary.

• Job Competencies:
• Functional knowledge of consumer protection laws and regulations impacting financial institutions and banking entities.
• Excellent organizational and communication skills. 
• Ability to partner effectively across the organization and develop positive working relationships. 
• Ability to prioritize assignments and handle multiple projects simultaneously. 
• Ability to work both independently and in a team-oriented environment. 
• Physical demands (ADA): No unusual physical exertion is involved.