The Compliance Administrative Assistant (CAA) ensures that requirements of regulatory laws, Bank Secrecy Act (BSA) and Community Reinvestment Act (CRA) are being implemented in conjunction with the Chief Compliance Officer. The incumbent will assist with the development, implementation, and administration all aspects of the Bank's compliance monitoring program and collaborate with the Chief Compliance Officer on the overall administration of compliance activities for the organization. The CAA will assist as a liaison between regulatory agencies and the various departments within the organization on regulatory and related matters. The CAA participates in various committees, audits, and regulatory examinations and provides guidance and expert advice to bank personnel on emerging compliance trends and issues.
Assist with the development, implementation, and dissemination of compliance-related policies and procedures throughout the bank to mitigate risks.
Assist with the preparation and retention of documentation associated with compliance activities; such as complaints received or investigation outcomes.
Assist with monitoring compliance management systems to ensure their effectiveness.
Assist with the preparation and review of appropriate compliance reports with regulatory agencies.
Assist with conducting or directing internal control investigations.
Assist with the reporting of compliance violations or regulatory standards to management as appropriate or required.
Assist with recommending and assigning necessary compliance training.
Assist with monitoring enterprise compliance training efforts to ensure that all required training is completed on a timely basis.
Assist the Chief Compliance Officer with the coordination of the quarterly Compliance Committee and CRA Committee meetings including planning the agenda, conducting the meetings, and preparing the meeting minutes.
Assist with the coordination of the annual CRA/HMDA reviews and ensure all reports and data are accurate and submitted on time.
Assist with providing assistance to internal and external auditors during compliance reviews.
Assist with the conducting of periodic internal reviews or audits to ensure that compliance procedures are followed.
Assist with loss/fraud situations and liaise with the Bank's security officer, attorneys, and law enforcement to resolve such matters.
Assist with the review and sign off on marketing material to ensure it meets regulatory requirements.
Prepare management reports regarding compliance operations and issues.
Maintain knowledge of policies, procedures, and FDIC requirements for compliance purposes.
Assist with updating of industry changes, trends, and best practices and assess the potential impact on Bank processes and procedures.
Job Requirements and Qualifications
Job requires use of critical thinking and use of logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
Job requires strict attention to details and thoroughness in the completion of job duties.
Job requires honesty, integrity, and ethical behavior.
Job requires a willingness to take on responsibility and challenges.
Job requires travel to branches and offsite training.
Education and Experience
Skills, Knowledge, and Abilities
Excellent written and oral communication skills to communicate ideas and information effectively as appropriate for the needs of the audience.
Excellent computer skills in a Microsoft Windows environment including proficiency in Word and Excel.
Ability to define complex problems, collect data, establish facts, draw valid conclusions, evaluate options, and implement solutions.
Ability to work independently.
Ability to sit for long periods of time up to 75% of work hours.
Ability to use hands to grasp, handle or feel.
Ability to talk, listen and see.
This job description is not an employment agreement or contract, implied or otherwise. Unity Bank maintains "at will" employment.
This document describes the position currently available. It is intended to convey information essential to understanding the scope of the position and is not an exhaustive list of skills, efforts, duties, responsibilities or working conditions associated with it. Unity Bank reserves the right to modify duties or job descriptions at any time. Nothing in this job description restricts management's right to assign or reassign duties and responsibilities at any time. Individuals may perform other duties as assigned, including work in other functional areas to cover absences or relief, to equalize peak work periods or otherwise balance the workload.
Unity Bank is committed to the principles of equal employment opportunity and prohibits discrimination in hiring, promotion and terms and conditions of employment on the basis of race, creed, color, national origin/nationality, ancestry, religion/religious practices or observances, age, sex, gender identity or expression, affectional or sexual orientation, marital status, civil union status, domestic partnership status, disability or perceived disability, atypical hereditary cellular or blood trait, genetic information, and status as a veteran or disabled veteran of, or liability for service in, the Armed Forces of the United States.
Unity Bank commits to making reasonable accommodation to the known physical or mental limitations of qualified individuals with disabilities and qualified disabled veterans provided the individual is able to perform the essential functions of the job, unless such accommodation would impose an undue hardship upon Unity Bank. A qualified employee or job applicant with a disability may request a reasonable accommodation by contacting Unity Bank's human resources department.