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Origin Bank · 1 day ago

Compliance Advisory Specialist II

Fort Worth, TX

Full-time

Hybrid

Mid Level

3+ years exp

Origin Bank is seeking a Compliance Advisory Specialist II to perform regulatory research and analysis for the Compliance Risk Advisory Services Group. The role involves advising on regulatory risks, supporting compliance controls, and assisting with the bank's complaint management system, among other responsibilities.

BankingFinanceFinancial Services

Growth Opportunities

Responsibilities

Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes

Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto

Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations

Act as resource for personnel questions on compliance issues and assist with remediation or answers

Assist as needed with the bank’s complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports

Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted)

Support tracking, monitoring, and reporting of compliance risks and related activities

Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed

Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations

Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors

Prepares reports by collecting, analyzing, and summarizing information

Conducts and/or provides assistance on special projects, as required

Assist with the design and delivery of consumer compliance-related training, as needed

Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner

Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies

Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education

Create and/or update internal department procedures as necessary

Coordinate the Compliance Risk Management Team meeting minutes

Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services

Qualification

Compliance Risk ManagementRegulatory ResearchAnalytical SkillsBanking Compliance ExperienceMicrosoft Office SuiteDocumentation SkillsOrganizational SupportJudgmentPlanning/OrganizingProfessionalismCommunication SkillsProblem SolvingInterpersonal SkillsTeamworkMotivationAdaptability

Required

At least three (3) years, banking compliance experience

Relevant training and/or certifications as a Compliance Specialist or similar compliance certification

Strong analytical and critical thinking skills

Strong documenting and reporting skills

Attention to detail

Strong verbal and written communication skills

Experience as a compliance auditor and or compliance examiner is acceptable

Advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access

Ability to learn bank-specific software

Ability to use basic office machines

Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor

Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank