Fortebankwi
Compliance Officer
Fortebankwi, Hartford, Wisconsin, United States, 53027
Forte Bank is searching for a dynamic, highly detailed and experienced individual to fill our full-time
Compliance Officer
position.
Functioning as an independent and objective body, the Compliance Officer oversees the bank's Compliance/CRA/Complaints programs. This position reviews and evaluates compliance/CRA issues/concerns within the organization. The position ensures the Board of Directors, Management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company's Standards of Conduct for compliance. This role has one direct report and reports to the Chief Operations Officer.
Essential Duties and Responsibilities
include the following:
Board Reporting
Develops and addresses compliance reports to and for the Board.
Manage and implement the Compliance Management System.
Development of annual Compliance Policy.
Development of the annual Complaint Policy.
Develop and deliver annual Board Compliance Training.
Daily Compliance
Consult with Management and employees who have questions about compliance/monitoring related policies and procedures.
Perform research as applicable for enhancing our procedures and ensuring the bank meets compliance requirements.
Manage upcoming changes in the regulatory landscape as it affects the bank.
HMDA Reporting
Oversees all HMDA documentation and LAR reporting.
Manual Monitoring/internal audits/exams
Oversees and manages the compliance exams process.
Complete/Review internal compliance monitoring.
Oversees remediation for issues identified in internal monitoring.
Communicate findings and remediation plans with supervisors/executives/Board as necessary.
Prepares document requests and answers questions during independent audits and exams.
CRA Oversight
Plans and conducts CRA Committee meetings.
Conduct review of CRA related loans, investments, services.
Oversees the bank's CRA program and ensures the bank's compliance for community development loans, services, and donations.
Training
Assist in preparing/presenting compliance related training for all employees.
Ensure all applicable employees and Board members receive annual training by tracking attendance records and quizzes.
Participate in advanced training courses related to compliance and internal monitoring as available.
Required Education and Experience
:
Bachelor's Degree or equivalent experience.
At least 3+ years compliance, CRA and/or banking experience.
CRCM (Certified Regulatory Compliance Manager) certification by the ABA or similar or ability to obtain within 18 months of hire.
Proven knowledge of compliance and regulatory laws, regulations, rules, policies and procedures in the financial services industry.
Required Skills & Abilities :
Advanced problem-solving skills.
Models integrity, honesty, responsibility, hard work and professionalism.
Demonstrated high level of personal integrity, ability to professionally handle confidential matters, and reflect appropriate level of judgment and maturity.
Able to work independently and in a team environment with people of diverse backgrounds.
Effectively uses organizational and time management skills to achieve goals and accomplish tasks timely.
Strong project management skills are a plus.
Knowledge of research and review processes and procedures, with the ability to plan, schedule and conduct regulatory reviews.
Establishes and maintains effective interpersonal relationships across all areas of the bank, including board members, examiners and external auditors.
Ability to effectively communicate with management and staff both in written and verbal communications.
Promotes a professional and cooperative climate and is recognized as approachable and resourceful.
Can discuss findings with confidence and is able to respond to objections. Skillful in finding common ground and is able to handle difficult people and tense situations with diplomacy and tact.
Fully competent using various tools, techniques, and procedures, such as data collection, sampling, data mining, trend analysis, interviewing, questionnaires, checklists, etc.
Proficient in Word, Excel, Power Point and bank proprietary software.
What We Offer
COMPENSATION & BENEFITS : Starting salary is dependent upon relevant experience. We offer an extensive benefits package that includes, but is not limited to medical, dental, vision, and life insurance, a health savings account option, an Employee Assistance Program (EAP), a 401(k)-retirement savings plan with generous company match, Profit sharing, and Employee Stock Ownership Plan and generous Paid Time Off (PTO) and holidays.
COMPANY OVERVIEW : Read our story, learn about our bank, and experience life at Forte Bank all from our website. Check it out!
www.fortebankwi.com
We are an Equal Opportunity Employer and qualified applicants or employees will receive consideration for employment without regard to race, color, religion, national origin, sex (including pregnancy), sexual orientation, gender identity, mental or physical disability, genetic information, protected veteran status, or any other category protected by applicable federal, state or local laws. Forte Bank does not sponsor applicants for work visas. All applicants must be legally authorized to work in the US.
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Compliance Officer
position.
Functioning as an independent and objective body, the Compliance Officer oversees the bank's Compliance/CRA/Complaints programs. This position reviews and evaluates compliance/CRA issues/concerns within the organization. The position ensures the Board of Directors, Management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company's Standards of Conduct for compliance. This role has one direct report and reports to the Chief Operations Officer.
Essential Duties and Responsibilities
include the following:
Board Reporting
Develops and addresses compliance reports to and for the Board.
Manage and implement the Compliance Management System.
Development of annual Compliance Policy.
Development of the annual Complaint Policy.
Develop and deliver annual Board Compliance Training.
Daily Compliance
Consult with Management and employees who have questions about compliance/monitoring related policies and procedures.
Perform research as applicable for enhancing our procedures and ensuring the bank meets compliance requirements.
Manage upcoming changes in the regulatory landscape as it affects the bank.
HMDA Reporting
Oversees all HMDA documentation and LAR reporting.
Manual Monitoring/internal audits/exams
Oversees and manages the compliance exams process.
Complete/Review internal compliance monitoring.
Oversees remediation for issues identified in internal monitoring.
Communicate findings and remediation plans with supervisors/executives/Board as necessary.
Prepares document requests and answers questions during independent audits and exams.
CRA Oversight
Plans and conducts CRA Committee meetings.
Conduct review of CRA related loans, investments, services.
Oversees the bank's CRA program and ensures the bank's compliance for community development loans, services, and donations.
Training
Assist in preparing/presenting compliance related training for all employees.
Ensure all applicable employees and Board members receive annual training by tracking attendance records and quizzes.
Participate in advanced training courses related to compliance and internal monitoring as available.
Required Education and Experience
:
Bachelor's Degree or equivalent experience.
At least 3+ years compliance, CRA and/or banking experience.
CRCM (Certified Regulatory Compliance Manager) certification by the ABA or similar or ability to obtain within 18 months of hire.
Proven knowledge of compliance and regulatory laws, regulations, rules, policies and procedures in the financial services industry.
Required Skills & Abilities :
Advanced problem-solving skills.
Models integrity, honesty, responsibility, hard work and professionalism.
Demonstrated high level of personal integrity, ability to professionally handle confidential matters, and reflect appropriate level of judgment and maturity.
Able to work independently and in a team environment with people of diverse backgrounds.
Effectively uses organizational and time management skills to achieve goals and accomplish tasks timely.
Strong project management skills are a plus.
Knowledge of research and review processes and procedures, with the ability to plan, schedule and conduct regulatory reviews.
Establishes and maintains effective interpersonal relationships across all areas of the bank, including board members, examiners and external auditors.
Ability to effectively communicate with management and staff both in written and verbal communications.
Promotes a professional and cooperative climate and is recognized as approachable and resourceful.
Can discuss findings with confidence and is able to respond to objections. Skillful in finding common ground and is able to handle difficult people and tense situations with diplomacy and tact.
Fully competent using various tools, techniques, and procedures, such as data collection, sampling, data mining, trend analysis, interviewing, questionnaires, checklists, etc.
Proficient in Word, Excel, Power Point and bank proprietary software.
What We Offer
COMPENSATION & BENEFITS : Starting salary is dependent upon relevant experience. We offer an extensive benefits package that includes, but is not limited to medical, dental, vision, and life insurance, a health savings account option, an Employee Assistance Program (EAP), a 401(k)-retirement savings plan with generous company match, Profit sharing, and Employee Stock Ownership Plan and generous Paid Time Off (PTO) and holidays.
COMPANY OVERVIEW : Read our story, learn about our bank, and experience life at Forte Bank all from our website. Check it out!
www.fortebankwi.com
We are an Equal Opportunity Employer and qualified applicants or employees will receive consideration for employment without regard to race, color, religion, national origin, sex (including pregnancy), sexual orientation, gender identity, mental or physical disability, genetic information, protected veteran status, or any other category protected by applicable federal, state or local laws. Forte Bank does not sponsor applicants for work visas. All applicants must be legally authorized to work in the US.
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