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Compliance Specialist - Fond du Lac

National Exchange Bank & Trust

Location Fond du Lac
Posted 69 days ago -
Type: Full-time Permanent



Under the direction of the VP Compliance, the Compliance Specialist will support elements of the Compliance Program to help ensure compliance with applicable laws and regulations. The Specialist assists in carrying out the parameters of the Compliance Program throughout the organization, including monitoring the regulatory environment and conducting monitoring reviews to ensure adherence with established regulations, policies and procedures. Through the monitoring process the Specialist provides an independent and objective opinion by measuring and evaluating the effectiveness of and adherence to financial, accounting, and operational policies, procedures and regulations.

Essential Functions and Responsibilities

  • Timely completion of all compliance monitoring assignments in accordance with the plan.
  • Review proposed and finalized regulations and supervisory agency guidance documents to determine effect on current bank related policies and/or procedures.
  • Aids in the design and implementation of programs, risk assessments, policies, practices, products & services to ensure that all business units are in compliance with federal, state and local regulatory requirements.
  • Conduct risk-based monitoring of controls by collecting and analyzing data to detect deficient controls, fraud or non-compliance with laws, regulations and management policies/procedures.
  • Prepares reports outlining the scope of the compliance monitoring and its results and recommends corrective action as necessary. Report monitoring results to appropriate parties.
  • Assist various departments and supervisors to control risk, provide information, training and direction on compliance issues.
  • Review advertising materials to ensure all meet regulatory standards.
  • Maintain wide-ranging and up to date knowledge of banking regulations related to assigned functions.
  • Works closely with external audit firm during completing of Compliance Audits.
  • Performs other duties, responsibilities and activities, which may change or be assigned at any time with or without notice.

Skills and Abilities

  • Strong interpersonal, communication (written and verbal), organization and prioritization skills with the ability to work independently, as well as, collaboratively within a team environment and meet deadlines with minimal supervision.
  • Must possess strong decision making and analytical and investigative skills, with attention to detail and accuracy.
  • Must have the ability to work in a high-stress, fast-paced and rapidly changing environment.
  • Proficient use of Microsoft Office (Word, Excel).

Working Conditions

  • Normal office environment with minimal noise, temperature variation. Length of work day is unpredictable, depending upon volume, regulatory and bank management needs.
  • Manual dexterity skills for typing and use of computer and other related office systems and equipment.
  • Frequent visual effort is required. Up to 75-100% of the workday is spent at a computer monitor and/or with written or computer-generated paper documents.
  • Frequent sitting is required.

Training and Preparation

  • Two years audit experience, banking preferred; OR at least three to five years previous banking experience, preferably with Compliance experience.
  • A Bachelor’s degree in Business, Legal or related field or equivalent combination of education training experience is required.
  • Knowledge of banking laws and regulations
  • Fundamental knowledge of various bank functional areas (loans, deposits, tellers, accounting, etc.).
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