Compliance Officer Assistant

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.

• 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.”

• 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 work papers 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.

High school diploma or equivalent required; associate’s or bachelor’s degree in business, finance, accounting, or a related field preferred.

Prior banking, compliance, audit, operations, or risk management experience preferred.

Working knowledge of community bank operations and applicable banking regulations preferred.

Strong attention to detail and accuracy; ability to follow established procedures, meet deadlines, and manage multiple priorities.

Proficiency in Microsoft Office (Word, Excel, Outlook) and the ability to learn bank systems, and other compliance tools.

Excellent organizational, analytical, and time management skills.

Effective verbal and written communication skills.

Ability to analyze information, identify exceptions, and elevate concerns appropriately.

Ability to handle confidential and sensitive information with discretion.

This position has no supervisory responsibilities.

• Regularly required to talk, hear, stand, and use hands to handle or feel objects.
• Frequently required to walk; occasionally required to sit, stoop, or kneel.
• Daily computer work for 6+ hours, including screen viewing and typing.
• Ability to move throughout the bank to access files, office equipment, and other materials.
• Ability to work in a fast‑paced environment with multiple priorities, periodic examinations, and regulatory deadlines.

• Deliver quality work within deadlines, with or without supervision.
• Maintain a professional and respectful demeanor with colleagues, customers, auditors, examiners, and vendors.
• Function effectively both as a team member and independently, while communicating and coordinating with others.
• Maintain consistent attendance, which is essential to this role due to internal and external customer contact and regulatory deadlines.

This job description is not a contract and does not limit management’s right to assign or reassign duties at any time. Responsibilities may be adjusted based on business needs or reasonable accommodation.

EOE/M‑F/V/D