Compliance Specialist

Respond to emails and phone calls; be assertive in handling the Chief Compliance Officer’s activity with management and subordinates in order to effectively manage her schedule. Prioritize meeting schedules and projects with limited or no direct instruction.

Arrange meetings and take meeting notes as appropriate.  Draft official meeting minutes for committees as necessary

Assist with compilation of monthly Board of Director (“BOD�) and Committee documents

Develop, organize, and supervise department-wide events and meetings (both on and off site); including weekly team meetings, monthly Business Unit Compliance Liaison (“BUCL�) meetings, annual team meetings, etc.

Assist with travel arrangements for the Compliance team and coordinate travel approval and budget.

Coordinate overall administrative activities for the Compliance function

Maintain Compliance department’s folders on the “share� drive; facilitate location of documents and files

Maintain and track vacation schedule for team members

Interact with Accounting department: check requests, invoices, etc.

Manage and coordinate mail delivery, office supply procurement, and other purchasing requests.

Supervise maintenance and alteration of office areas and equipment as well as layout, arrangement and housekeeping of office facilities

Provide guidance, direction and information to employees and supervisors on specific situations that may arise. Compile data for and prepare a variety of reports.

Work with Management to ensure team and business unit deadlines and commitments are met. Research data for reports and make recommendations to Management.

Perform confidential related functions, such as company financials, budgets, and salary information, and associate issues, as assigned by the Chief Compliance Officer.

Monitor Issue & Project Matrix for Compliance team

General administrative support for Vendor Management, and Third Party Complaints as needed.

Provide administrative support for Community Development team members; including facilitating events management for activities with CRA partners

Interact with regulators during exam time and participate in management of: exception resolution documentation, coordination of PERK responses for upcoming exams

Assist with management of adherence to policies, including Regulation O, OFAC, CIP, USA Patriot Act, etc. 

Complete online data research (i.e. FDIC, FFIEC, HUD, Competitor Lending, etc) as needed

 

The successful candidate must be versatile and flexible, offering excellent communication, organizational and interpersonal skills.

The ability to organize and prioritize work with minimal supervision is essential.

Proficient computer skills, including Microsoft Office and scheduling software and at least five years’ experience working with a senior level executive are required.

Adobe Acrobat experience required

Preferred experience in Access and Visio

Previous financial services experience is desired but not required.