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.