Compliance Officer

Job Description:

This person performs compliance reviews of each business unit’s activities related to compliance with all applicable laws and regulations based on established compliance program.  This person reviews marketing materials to ensure compliance with all applicable laws and regulations, answers compliance questions from throughout the organization, and conducts compliance training sessions for small and large groups.

Qualifications: This person should have a bachelor’s degree and two years of experience as a compliance professional or experience in dealing with compliance risk in other areas of banking or the equivalent.  In addition, this individual should have a compliance certification from at least one bank trade association.  Strong written and verbal communication skills are required, along with strong analytical and problem-solving skills. This individual should have an above average knowledge of Microsoft Office.

Principal Responsibilities are to:

1. Support all employees of the organization by responding to questions regarding compliance-related issues, including researching and collaborating with internal and external compliance resources as appropriate.

2. Plan and conduct compliance reviews within established timeframes, ensuring all reviews conform to regulation as well as established departmental policies and procedures.  Prepare working papers and detailed reporting of findings and recommendations.  Ensure corrective action is taken.

3. Recommend enhancements and changes to the compliance program to ensure effectiveness.

4. Review proposed marketing materials for approval, ensuring compliance and risk factors are adequately addressed. 

5. Complete risk assessments and serves as a compliance resource on projects during the implementation of new products, processes, and services.

6. Assist with review and implementation of new or enhanced policies and/or procedures.

7. Assist with facilitating a comprehensive, risk-based compliance training program for new and existing employees.  Conduct assigned compliance training sessions.

8. Resolve consumer complaints.

9. Act in accordance with FBT policies and procedures as set forth in the employee handbook.

10. Adheres to compliance procedures and participates in required compliance training.

Compensation Grade

First Bank & Trust is an Equal Opportunity, Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity or expression, national origin, disability, or status as a protected veteran. Read our complete Equal Employment Opportunity Policy Statement. Applicants who would like to request reasonable accommodation to the application or interview process should call Human Resources at 800.843.1552 or email hr@bankeasy.com.