Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Applicants with a disability who need assistance applying for a position with Associated Bank are asked to email: colleaguecare@AssociatedBank.com or call: (800) 878-3282.
Under limited direction, perform independent transaction testing reviews and monitor adherence with applicable laws and regulations related to the compliance functions of Residential Lending and Business Lending. Responsible for information gathering to gain an understanding of the regulatory requirements and the business lines control environment. Act as the lead on compliance review assignments and finalize reports which summarize results and applicable action plans necessary to mitigate compliance risk. In addition, incumbents designated as having SAFE Act responsibilities are responsible for creating, evaluating and processing, SAFE Act registration for the Division. Serve as a subject matter expert for SAFE Act programs for the Bank.
As a valued colleague of Associated Bank you play a critical role in delivering an exceptional customer experience during every interaction. Expectations for this position require the ongoing focus on building solid and long lasting relationships by engaging all customers in a positive manner. Colleagues should provide customers a positive experience that includes undivided attention, straightforward and knowledgeable service and insure that the customer's best interests are our number one priority. Consistency around customer experience guidelines is key and expected from all of our colleagues. Our goal is to simplify the customer experience and deliver outstanding service to every customer, every time.
Operates in full compliance with internal policies and procedures as well as applicable regulations and laws, including but not limited to Bank Secrecy Act/Anti-Money Laundering requirements. Responsible to report any procedure or process that doesn't meet regulatory requirements including fraud, whether suspected or confirmed, to management. This reporting can be done directly to any member of management, including Human Resources or Corporate Security, or can be reported through Associated's anonymous Ethics Hotline.
Key Result Areas
Regulation and Compliance
Responsible for completing assigned compliance transaction testing accurately and timely in order to detect and mitigate regulatory and compliance risk. Act as a liaison with the necessary departments to review, and when applicable, remediate all findings identified.
If designated as having S.A.F.E. Act responsibilities, then process and complete annual renewal activities.
Develop, implement, manage, complete and/or participate in quality control reviews to support the requirements set out in the Quality Control Plan.
Foster cooperation and involvement with internal colleagues related to compliance testing and quality control reviews. This includes assisting management in preparing formal responses to noted items and in establishing corrective actions.
Maintain general familiarity with compliance laws and regulatory requirements to ensure business line procedures and controls are in compliance with applicable requirements.
Assist in developing and maintaining a regulatory mortgage, consumer and small business lending compliance review program, including system testing and validation.
Job accountabilities may include the follow-up on identified findings or issues which requires testing to validate action plan deliverables are sustainable.