Compliance Officer

Position Summary

Monitors and evaluates the Bank’s processes, procedures, and products to safeguard Bank assets and monitor internal controls to ensure compliance with federal and state laws and regulations.  Stays current with regulatory changes in requirements for banks and ensures the appropriate staff is aware of changes and updates. 

General Qualifications

Knowledge:  A four-year degree in accounting or a related business field is the normal minimum requirement.  Equivalent knowledge may be obtained from advanced on-the-job experience in various departments of a financial institution.  Incumbent must have a thorough knowledge of a Bank’s financial and operational procedures and a complete understanding of regulations governing the banking industry.  Knowledge of related management information systems and audit reporting is preferred.

Experience:  A minimum of five years experience with the FDIC, FRB, or OCC or commercial bank is essential.  Exposure to various banking departments such as operations, accounting, branch administration loan/deposit operations, commercial/retail lending or Internal Audit would be strongly preferred. 

Skills:  Must be proficient in communicating both verbally and in writing with all levels of the staff including the Board of Directors.  Strong objective analytical skills are essential.  Training skills are essential.  Calculator, PC and keyboard skills are required as is familiarity with audit-related software and computer programs.

Physical Demands/Work Environment: Vision, hearing, speech, movements requiring the use of wrists, hands and/or fingers.  Stands up to 15 percent of the time.  May be required to lift up to ten pounds occasionally.  Vision abilities require very medium level of visual concentration and keyboarding proficiency. There are generally no hazardous or significantly unpleasant conditions present in the location of this position.  A valid North Carolina Driver’s License is essential.

Mental Demands:  Ability to apply logical or scientific thinking to define problems, collect data, establish facts, and draw conclusions.  Must have problem-solving skills combined with an ability to coordinate functions of assigned departments to react to events resulting from regulatory changes, or unexpected occurrences. Must have the capability to manage many responsibilities simultaneously and accurately.  This position functions without direct supervision and incumbent needs to be able to think and act independently within guidelines and limitations.     

Essential Functions

  • Stays abreast of federal and state laws and regulations pertaining to the banking industry.
  • Develops (and keeps current) bank compliance policies and procedures.
  • Trains bank personnel in compliance requirements and how to comply with the requirements.
  • Reviews all forms, policies and procedures for compliance with applicable laws and regulations and the Bank’s stated policies and procedures.
  • Serves as BSA Officer.

Additional Responsibilities

  • Remains knowledgeable of the Bank’s services and take opportunities to sell and cross-sell products and services when possible.
  • Performs other duties as required.

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