Compliance Specialist, Finance & Banking

Overview

The Compliance Specialist will examine, verify, and document compliance with federal and state regulatory laws and adherence to internal policies and procedures.

• Stay abreast of changes to federal and state banking laws and regulations affecting the management, operations, and product offerings of the financial institution.
• Conduct compliance audits with operating departments to ensure adherence to laws and regulations.
• Develop compliance auditing plans based on thorough research on studies conducted by government agencies and professional organizations.
• Prepare and submit audit findings, make recommendations to management when appropriate, and perform appropriate follow‑up to ensure compliance with findings and recommendations.
• Inform and advise Compliance Officer of conditions and status of the bank’s adherence to laws and regulations.
• Examine policies, procedures, and practices to ensure compliance with laws and regulations.
• Provide support to other operating units and managers affected by compliance issues and regulatory requirements.
• Ensure accuracy of data and underlying documentation on the loan application registers (LARs).
• Maintain and generate reports from the bank’s compliance software systems.
• Keep Compliance Officer apprised of compliance items and assist Compliance Officer as needed.
• Other duties may be assigned.

• Four‑year college or university program degree; or three years compliance and/or auditing experience and/or training; or equivalent combination of education and experience.
• An in‑depth understanding of the industry's rules, guidelines, and regulations
• Multitasker with strong attention to detail, analytical, and statistical skills
• Good computer skills and experience with relevant software programs
• Strong communication and interpersonal skills
• Well‑organized, efficient, self‑starter, and able to work independently
• Dedication to objectivity

• Analytical and Critical thinking.
• Ability to multi‑task, prioritize, and work efficiently.
• Handle confidential information appropriately.
• Strong attention to detail and documentation accuracy.
• Excellent written and verbal communication skills.

North Dallas Bank and Trust is an Equal opportunity employer. This company considers candidates regardless of race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.