More
information about this job:
Overview:
Reporting
directly to the Vice President of PBO Business Strategy and Operations. The Compliance
and Operations Specialist will play a key role on the Business Strategy and
Operations team.
The
Compliance and Operations Specialist (COS) will work independently to ensure
their designated offices are in compliance with proscribed policies, procedures
and regulatory requirements. COS will act as a liaison between the QA unit and
the Preferred Banking Offices and management teams. Compliance and Operations
Specialist (COS) works with multiple businesses units in a changing environment
where the complexity of the job changes from day to day.
The
position requires travel to existing footprints of the bank on a regular basis
to ensure adherence to regulatory, compliance and policy requirements. The
position also requires an ability to work alone and set an appropriate schedule
to make certain all assigned Preferred Banking Offices are reviewed on a
regular basis for specific tasks (not limited to but including, wire review,
daily work) with an additional role of training and developing other team
members such as FlightPath QC Associates.
This
dynamic position goes beyond strictly operations review and includes performing
periodic Assessments, monthly reviews of the entire Preferred Banking Office’s
operations with an added emphasis on training and development of assigned
offices and bankers.
The
Compliance and Operations Specialist will consult with various business units
across the enterprise (i.e. Legal/Compliance; BSA/AML; Risk, Fraud and
Security; Internal Audit; Deposit Services; etc.) to ensure all offices within
their assigned regions are prepared for internal or external regulatory
examinations.
Responsibilities:
DUTIES AND RESPONSIBILITIES:
·
Works
on multiple Quality Assurance / Quality Control tasks across the PBO’s with
bankers. Proactively uses independent judgment to identify opportunities to
improve the quality and usability of internal processes to enable our bankers
to be in compliance with regulatory requirements and the bank’s Policies and
Procedures of the Bank (e.g. Big Green Book and Eaglesnet).
·
Has
a strong working knowledge of Regulatory and Compliance requirements and Bank
Policies and Procedures to participate in the creation, preparation, and
conduct of Office Assessments along with leading professional development
seminars as necessary to guide our bankers and all bank stakeholders.
·
Cross-trains
as FlightPath QC Associates for entry and audit of new accounts and account
documentation including changes to signers on accounts to enforce and comply
with the bank’s KYC process. Performs this function as needed. Mentors and
trains the FlightPath QC Associates.
·
Upon
request, provides the Vice President with accurate QA status reports which
identifies operational deficiencies of the PBO’s. Documents, presents findings,
and relays evaluative feedback to the Vice President and leadership team.
·
Works
closely with the Vice President to ensure all operational issues are
effectively communicated, including actively participating in ad-hoc projects
and team meetings, while exhibiting ownership, follow-thru, initiative and
independent judgment at all times.
·
Responsible
to work on projects, including, but notwithstanding, monitoring, consolidating,
and archiving active and pending reports, and performing other duties &
responsibilities as required by the VP of Business Strategy and Operations and
their assignee.
·
Responsibilities
include the following: 1) adhering to and complying with the applicable,
federal and state laws, regulations and guidance, including those related to
Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.) 2) adhering
to Bank policies and procedures, 3) completing required training, 4)
identifying and reporting suspicious activity to the AML Officer, and 5)
knowing and verifying the identity of any customer(s) that enters into a
relationship with the Bank.
Qualifications:
SKILLS, KNOWLEDGE, AND
ABILITIES:
Minimum
3-5 years of supervisory, retail branch operations and customer service
experience. Strong communication skills, manage multiple projects under rapidly
changing conditions, ability to multi-task, strong attention to detail,
excellent problem solving and follow-up skills, computer skills with an
emphasis on Word, Excel and PowerPoint. Position is required to travel 80% of
the time. Must have excellent organizational and oral presentation skills. A
candidate is expected to be a self-starter with a high ability to quickly
comprehend technical concepts, and willingness to take charge and seek out
answers, use independent judgment, even when given minimal instruction and
guidance.
PHYSICAL REQUIREMENTS:
·
Vision
must be sufficient to read data reports, manuals and computer screens.
·
Hearing
must be sufficient to understand a conversation at a normal volume, including
telephone calls and in person.
·
Speech
must be coherent to clearly convey or exchange information, including the
giving and receiving of assignments and/or directions.
·
Position
involves sitting most of the time, but may involve walking or standing for
brief periods of time.
·
Must
be able to travel in a limited capacity.
