Compliance Advisory Specialist II

Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes.

• Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto
• Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations
• Act as resource for personnel questions on compliance issues and assist with remediation or answers
• Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports
• Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted)
• Support tracking, monitoring, and reporting of compliance risks and related activities
• Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue‑tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed
• Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations
• Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors

• Prepares reports by collecting, analyzing, and summarizing information
• Conducts and/or provides assistance on special projects, as required
• Assist with the design and delivery of consumer compliance‑related training, as needed

• Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner
• Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state‑of‑the‑art practices, and participating in professional societies

• Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education
• Create and/or update internal department procedures as necessary

• Coordinate the Compliance Risk Management Team meeting minutes
• Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services

The incumbent is not responsible for the supervision of employees.

To perform the job successfully, an individual should demonstrate the following competencies:

Analytical and Design - Ability to assess risk;
Detail oriented, analytical, and critical thinking skills;
Strong problem solving and analytical skills required to succeed in this job;
Strong technical troubleshooting skills and ability to juggle simultaneous projects.

Problem Solving - Identifies and resolves problems in a timely manner;
Gathers and analyzes information skillfully;
Works well in group problem solving situations;
Uses reason even when dealing with emotional topics.

Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming;
Maintains confidentiality;
Remains open to others' ideas and tries new things;
Manages difficult or emotional customer situations;
Responds to requests for service and assistance;
Meets commitments.

Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations;
Listens and gets clarification;
Responds well to questions;
Demonstrates group presentation skills;
Participates in meetings;
Writes clearly and informatively;
Edits work…