Supports the development and implementation of compliance programs, policies, reporting, and practices for an organization or business. Monitors activities impacted by regulatory requirements related to the organization's governance and any industry-specific or location-specific laws. Utilizes established internal controls and auditing systems to identify, detect, and correct noncompliance. Implements changes to compliance processes due to new or amended regulations. Prepares and updates communication materials. Assists with training initiatives that inform stakeholders about compliance requir ...ements. Requires a bachelor's degree or equivalent. Typically reports to a supervisor or manager. Work is closely managed. Works on projects/matters of limited complexity in a support role. Typically requires 0-2 years of related experience.More Show Less
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Essential Job Functions. This job description indicates the general level and nature of work expected of the incumbent. It is not a comprehensive list of specific duties or activities associated with the position. The incumbent may be asked to perform other duties as assigned. Audit & Control Program. – The Auditor is the secondary owner of the internal audit program and is therefore responsible for the following activities on an on-going basis t...
Summary. The main function of a compliance specialist is to plan, direct, and coordinate regulatory programs of an organization to maximize the strategic use of compliance and maintain functions. A typical compliance specialist is responsible for all internal and external changes associated with products or services to assure legal compliance with regulatory guidelines and administers regular compliance audits and investigates/resolves complex co...
. Qualifications. Bachelor’s degree in a business related field or FLMI designation with five years of insurance experience. Strong oral and written communication skills. Acceptable score on an analytical aptitude test to suggest an adequate analytical ability necessary to perform basic compliance functions. Good working knowledge of SFBL policies, procedures and products as they relate to servicing our business preferred. Basic knowledge and use...
Compliance Specialist I. Department. Compliance. Employment Status. Full Time Hourly, Non-Exempt - Benefited. Location. Lodi (1). Salary. $23.07 - $28.83 (Commensurate with experience and qualifications). Supervises Others. No. Serving California for More Than 100 Years. Farmers & Merchants Bank of Central California (“F&M Bank”) has provided financial services to individuals, families and businesses in California since 1916. We are a community b...
Compliance Specialist I will assist the CRA & Compliance Manager in day to day compliance support for branches and to maintain current with bank compliance and CRA requirements. Will assist with the gathering of CRA data, audit checks, and self-assessments for various compliance areas. Will work on projects to improve processes, procedures and other issues. JOB RESPONSIBILITY AND DUTIES. Assist maintaining policies and procedures as needed, inclu...
