Compliance Analyst, Finance & Banking

Classification:
Salary

Reports to:

Compliance/BSA Officer

Work Schedule:

8:00 a.m. – 5:00 p.m. Monday through Friday

Location:

Topeka Organization:
Community National Bank was founded in 1984 by a group of individuals in Nemaha County, Kansas with diverse local ownership with decisions made on a local level.

Duties and Responsibilities:

Bank Secrecy Act / Anti-Money Laundering Analyst Mission:

This position is responsible for providing assistance to the Compliance/Bank Secrecy Act (BSA) Officer and BSA/AML Analyst to ensure regulatory compliance with BSA/AML/OFAC rules and regulations. The position will assist with monitoring, account reviews, customer due diligence, transaction monitoring, and other activities necessary to support the effective operation of the Bank’s BSA/AML program.

Major Duties:

Perform next-day review of new consumer and business accounts for compliance with the Bank’s CIP, CDD and applicable beneficial ownership requirements.

Track outstanding CIP, CDD, and beneficial ownership exceptions and follow up with appropriate team members for resolution.

Perform research and due diligence necessary to support the investigation and disposition of Verafin alerts in accordance with established procedures.

Assist with High-Risk Customer reviews and other customer due diligence reviews as assigned.

Review assigned Verafin reports, system exceptions, and other monitoring reports and escalate unusual activity for further investigation.

Assist with the review and documentation of Unusual Activity Referrals (UARs) and customer or team member referrals involving unusual activity.

Assist with CTR preparation, review, corrections, and exemption monitoring as assigned.

Maintain clear and accurate documentation supporting completed reviews, alert dispositions, and due diligence.

Assist with BSA/AML monitoring, testing, data validation, and quality control activities as assigned.

Provide assistance to the Compliance/BSA Officer with additional duties as assigned

Duties and Responsibilities:

Compliance Mission:

To provide support and assistance to the Compliance Officer in the research, monitoring, and implementation of regulatory requirements. To assist in the monitoring of established compliance controls and the identification and escalation of potential regulatory or operational concerns.

Major Duties:

Maintain a working knowledge of specific regulations as assigned.

Maintain an understanding of the regulatory process and follows legislative and regulatory developments as assigned.

Perform next-day reviews of Reg CC holds and associated notices for compliance with applicable regulatory requirements and Bank procedures.

Identify exceptions noted during compliance reviews and work with appropriate team members to obtain supporting documentation or corrective action.

Conduct compliance research using applicable regulations, regulatory guidance, Bank policies and procedures, and other approved resources.

Assist with applicable regulatory reviews as assigned.

Assist with development and maintenance of compliance procedures, checklists, jobs aids, and other resources.

Assist with tracking exceptions and corrective actions resulting from compliance monitoring, audits, or regulatory examinations.

Provide assistance to the Compliance Officer with additional duties as assigned.

General Responsibilities:

Support CNB’s strong relationship culture through quality customer service and superior product knowledge.

Ensure work assignments are completed accurately and in a timely manner.

Seek counsel of supervisor on issues as appropriate

Work collaboratively with staff to maintain a team environment.

Model professional behavior while effectively working as a team member or cross-functionally.

Flexible to accept additional assignments…