Compliance Officer Assistant

Position: Compliance Officer Assistant

Location: South Branch

Position Summary:

The Assistant to the Compliance Officer supports the Compliance Officer in the day-to-day administration of the bank’s compliance programs. This position coordinates outsourced audit providers, performs assigned independent reviews, tracks audit findings, validates corrective action, and reports audit results to the Compliance/Audit Committee; in addition, responsibilities include assisting with selected compliance monitoring, documentation, complaint tracking, and examination preparation. This position plays a role in fulfilling the bank’s purpose of building meaningful relationships as we invest in our communities by helping maintain a culture of integrity, accountability, and safety for the bank and our customers.

Core Values in Action

This role is expected to consistently demonstrate the bank’s core values:

• Courage – ”We stand with Courage to overcome challenges by aligning our actions with our values.”
• Compassion – ”We embody Compassion through empathy and acts of kindness.”
• Wisdom – ”We offer our collective Wisdom in service of others.” 

Primary Duties and Responsibilities:

• Maintain organized compliance files in accordance with record retention requirements, examination standards, and internal procedures.
• Coordinate internal and outsourced audit activities.
• Perform assigned internal audits and independent reviews.
• Support internal audits, independent testing, and regulatory examinations by gathering documentation, preparing reports, and assisting with follow-up items.
• Maintain audit workpapers and supporting documentation; prepare written audit reports.
• Assist the Compliance Officer with compliance monitoring and testing activities, including tracking exceptions, documenting results, and maintaining evidence of review.
• Help maintain compliance-related policies, procedures, forms, logs, and training records to ensure documentation remains current and complete.
• Assist with the intake, tracking, and documentation of consumer complaints and help identify recurring issues for management review.
• Prepare reports, spreadsheets, and other administrative support materials for the Compliance Officer, BSA Officer, senior management, internal audit, and Board reporting, as assigned.
• Participate in ongoing training to remain current on consumer compliance and related banking regulatory requirements.
• Perform other duties as assigned by the Compliance Officer or management.

Qualifications:

• High school diploma or equivalent required; associate’s or bachelor’s degree in business, finance, accounting, or a related field preferred.
• Prior banking, compliance, audit, operations, or risk management experience preferred.
• Working knowledge of community bank operations and applicable banking regulations preferred.
• Strong attention to detail and accuracy; ability to follow established procedures, meet deadlines, and manage multiple priorities.
• Proficiency in Microsoft Office (Word, Excel, Outlook) and the ability to learn bank systems, and other compliance tools.
• Excellent organizational, analytical, and time management skills.
• Effective verbal and written communication skills.
• Ability to analyze information, identify exceptions, and escalate concerns appropriately.
• Ability to handle confidential and sensitive information with discretion.

Supervisory Responsibilities:

• This position has no supervisory responsibilities.

Physical/Work Environment Requirements:

• Regularly required to talk, hear, stand, and use hands to handle or feel objects.
• Frequently required to walk; occasionally required to sit, stoop, or kneel.
• Daily computer work for 6 hours, including screen viewing and typing.
• Ability to move throughout the bank to access files, office equipment, and other materials.
• Ability to work in a fast-paced environment with multiple priorities, periodic examinations, and regulatory deadlines.

Company Expectations:

• Deliver quality work within deadlines, with or without supervision.
• Maintain a professional and respectful demeanor with colleagues, customers, auditors, examiners, and vendors.
• Function effectively both as a team member and independently, while communicating and coordinating with others.
• Maintain consistent attendance, which is essential to this role due to internal and external customer contact and regulatory deadlines.

Other Information:

This job description is not a contract and does not limit management’s right to assign or reassign duties at any time. Responsibilities may be adjusted based on business needs or reasonable accommodation.

EOE/M-F/V/D