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Compliance Officer

Employer
Coulee Bank
Location
Onalaska
Salary
Competitive

View more

Industry
General
Role
Other
Job Type
Long-Term
Hours
Full Time

This position is responsible for ensuring the Bank is compliant with all regulations governing the operations of the bank, including but not limited to, regulatory guidance, policies, procedures, and training. The Compliance Officer analyzes risk related to compliance and performs reviews, evaluations and audits related to compliance issues/concerns within the Bank. The Compliance Officer acts as a channel of communication to receive and direct compliance issues to appropriate resources for investigation and resolution.



  • Develop and maintain policies and procedures for the general operations of the Bank related to compliance functions and its activities to prevent illegal, unethical or improper conduct.
  • Stay abreast of changes in regulation, guidance and best practices to inform the Bank's management of and provide information on compliance changes that may affect them.
  • Identify potential areas of compliance vulnerability and risk through analysis and assessment.
  • Develop corrective action plans for problematic issues and provide guidance on resolution and future prevention and mitigation.
  • Assist in managing the Bank's overall compliance program by planning, organizing, implementing and monitoring programs established to ensure regulatory compliance goals are met.
  • Assist in developing and presenting compliance training sessions for employees, in addition to managing the Bank's online training platform.
  • Chairs and actively participates as a member of the Compliance Committee.
  • Monitor and audit loan files for compliance exceptions in a thorough and timely manner. Prepare reports for management and the Board of Directors concerning the compliance function including scope and results of audits.
  • Review loan documentation to ensure standards are maintained and notify the Chief Risk Officer of exceptions in a timely manner.
  • Update HMDA LAR on a monthly basis and submit results annually to regulatory agency in an accurate and timely manner.
  • Monitor loans for flood compliance for both the retail and business loans in a timely manner.
  • Assist with compliance review of other areas of the bank.
  • Functions as a resource to other Bank employees that have questions or concerns relating to loan documentation and compliance by keeping up to date on laws, rules and regulations.
  • Act as liaison/contact for Federal examinations and internal/external reviews and audits of compliance areas. Participate in response to exams and audit concerns and oversee corrective action of all compliance-related deficiencies or violations.
  • Ensures confidentiality of bank and customer service data.
  • Maintain proficiency in using all applicable software to this position.
  • Participates in training programs to ensure knowledge of all pertinent procedure and regulatory requirements to perform all aspects of this position in a competent manner.
  • Performs other duties and responsibilities as assigned.

QUALIFICATIONS:

  • Associate or Bachelor's Degree in business or finance.
  • At least 5-7 years of previous banking experience with 5+ years in compliance, or an equivalent combination of education and experience.
  • Compliance certification is preferred, but not required
  • Excellent verbal and written communication skills.
  • Ability to work with all levels of organization.
  • Proficient in Excel, Word and other systems used to management compliance.
  • Some travel via personal automobile to attend branch locations and functions is expected.

This position is flexible to work out of any Coulee Bank offices, located in Wisconsin or Minnesota.

PI

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