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Compliance Analyst - Remote

Milwaukee, WI | Full Time | Remote
26 Days Ago

Job Description

Job Description

First American Bank is a family owned, full-service bank with over 50 locations in Illinois, Florida, and Wisconsin. Our mission is simple: to offer competitive banking products with the personal attention and service customers deserve. First American Bank can offer employees a level of visibility and stability that is difficult to find in many larger corporations. We are looking for people who want a career - not just a job!


This position is responsible for overseeing department procedures and assisting with overall regulatory compliance within the Wealth Management Group. The Compliance Analyst serves as the subject matter expert for IRA administration and management as well as overall Wealth Management Group compliance matters. Additionally, this position serves as lead for the department regarding record retention initiatives.



Serve as subject matter expert and project lead for Wealth Management on compliance related issues / projects and coordinate/implement any regulation changes. Participate in all state, federal and internal audits as needed and work with the Wealth Management Group management team to implement changes, enhancements, etc.


Monitor effective dates of changes to regulations. Develop and implement action plans to bring the bank into compliance.


Develop, implement, analyze, and update procedures and policies for the department in accordance with regulations. Ensure compliance by developing and delivering training sessions and materials to efficiently and comprehensively educate both new and existing employees to mitigate risk for the bank and maximize departmental efficiency.


Responsible for all matters regarding IRAs including consulting on various proposed transactions, annual tax processing and regulatory needs (1099R, 5498, RMD letters, etc). Must exercise judgement with respect to required documentation for specific transactions and evaluate First American Bank’s ability to act upon a request.


Lead project teams and manage various projects, including option comparison and cost/benefit analysis through to completion with an emphasis on regulatory needs. Ensure all project tasks and phases are completed in a satisfactory manner. Demonstrate a sense of urgency; adhere to deadlines, and effectively manage multiple projects.


Understand project stakeholders’ needs and requirements to execute projects effectively. Utilize experience to make sole determinations and decisions regarding projects while remaining in line with project and stakeholder goals to produce a satisfactory end-product.


Manage document retention policies for department to ensure compliance with internal retention guidelines. Monitor retention libraries regularly and make updates to retention policy as needed.


Identify opportunities for operational efficiency and recommend improvements to streamline processes. Prioritize and adapt operational functions as business needs change, helping team members to assess the needs of the department and project urgencies.


Responsible for system administration of various Wealth Management Group software.


Generates monthly & quarterly reporting including the Board report, RCT report, overdraft report, PCG monthly reports, and various compliance tracking reports.



Serve as secretary of the Wealth Management Group Compliance Committee.


Serve on various bank committees as the Wealth Management Group representative (SharePoint Governance, CRM, etc.)


Conduct and complete additional assignments/projects as designated by management.



Bachelor’s degree required with emphasis on business, finance, or accounting.

CISP and/or CFIRS preferred.


Minimum of 5 years of financial services compliance experience with a concentration in process improvement and analysis, procedure drafting and regulatory matters.



Demonstrated ability to use critical thinking to mitigate risk.


A history of academic and/or professional success with a persistent desire for professional development and a proven track record of achieving results.


Must be professional, comfortable speaking with external and internal contacts with a demonstrated ability to effectively tailor the message appropriately to the audience and situation.


Demonstrated ability to convey thoughts and ideas effectively and succinctly via written formats, including emails, letters, and electronic platforms. Maintain professional standards relating to spelling and grammar.


Maintain credibility through professional demeanor, appearance, and presence by modeling standards appropriate to our environment and industry.


Maintain good working relationships with internal partners by exhibiting exemplary interpersonal skills, adopting a constructive, solutions-focused approach.


Use sound professional judgment to balance the interests of the organization and customer, understanding and using available resources to mitigate risks.


Proficiency with Microsoft 0365 products and applications, including the ability to effectively prepare or review documents, procedures, and reports.


Experience with Trust Accounting Systems preferred.


Demonstrated ability to learn new systems and applications, as well as the ability to understand, adapt and adjust responsibilities/workflows resulting from system upgrades.


Occasional travel to other First American Bank locations, Bank functions and training facilities may be required.


This position requires regular travel to the office for in-person meetings and onsite responsibilities.


Typical hours are Monday through Friday 8:00 a.m. to 5:00 p.m. Additional hours may be required depending upon business need.

Company Overview

  • Website
  • Headquarters FORT DODGE, IA
  • Size 50 - 100
  • Founded 1934
  • Type
  • Revenue $50M - $200M
  • Industry Financial Services
  • About first american bank
  • First American Bank is a privately owned community bank, operating from fourteen locations throughout Iowa, and four in southwest Florida. The bank controls assets of approximately $1.2 billion. First American Bank offers a wide array of personal and private banking services, mortgage products and programs. First American Bank is a Member, FDIC, and an Equal Housing Lender.

Skills for Compliance Analyst - Remote

The job skills required for Compliance Analyst - Remote include Analysis, Regulatory Compliance, Financial services, Internal Audit, Consulting,and Critical Thinking etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Analyst - Remote. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Analyst - Remote. Select any job title you are interested in and start to search job requirements.

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Career Path for Compliance Analyst - Remote

The following is the career advancement route for Compliance Analyst - Remote positions, which can be used as a reference in future career path planning. As a Compliance Analyst - Remote, it can be promoted into senior positions as a Compliance Analyst Banking Sr that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst - Remote. You can explore the career advancement for a Compliance Analyst - Remote below and select your interested title to get hiring information.

How to Become a Compliance Analyst

If you are interested in becoming a Compliance Analyst, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Analyst for your reference.

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