The Senior Compliance Analyst serves as a resource to ensure the bank remains compliant with applicable laws and regulations. Support all business units within the Bank by responding to compliance-related questions. Complete compliance reviews of new marketing materials and perform compliance monitoring while recommending corrective action to resolve identified weaknesses. Monitor customer complaints ensuring resolution is satisfactory, timely and documented. Develop annual compliance training assignments for the Bank's advisors.
Principal AccountabilitiesAct as a resource and work with business units to resolve compliance-related questions in a helpful and professional manner. Utilize available compliance websites, tools, regulatory guidance and mentors to determine best practice. Complete compliance audits based on the established audit testing schedule through the development of work papers and other materials that meet the department and professional practice requirements. Anticipate and implement changes to the testing plans as a result of changes in the bank's business and regulatory environment. Monitor customer complaints by utilizing the complaint tracking system, ensuring timely and complete resolution, and report complaints quarterly to Compliance Committee.
Represent the Bank to both internal and external customers in a courteous, professional manner in face-to-face, written and telephone communications. Accountable for adherence to all applicable regulations, including Bank Secrecy Act (BSA). Actively protect confidentiality of customer and account information. Demonstrate Horizon Bank's commitment to the communities we serve through involvement in local organizations and events.
Duties
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Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions in compliance with the Americans with Disabilities Act (ADA)
Physical Demand: |
Percentage of Time: |
Communicate with customers, advisors and managers regarding banking transactions and issues. Able to exchange accurate information with others. |
90-100% |
Able to grasp, move and sort forms and papers. |
90-100% |
Constantly operate a computer and other office machinery such as calculator, copy machine, fax machine, scanner, printer and telephone |
90-100% |
Able to remain stationary at a desk for long periods of time |
75-100% |
Regularly move about the office to access file cabinets, storage drawers and various office equipment |
75-100% |
Able to verify authenticity of financial instruments, forms, documents and signatures. Able to verify identity of customers, vendors and service providers. Able to observe actions of others to ensure safety and security of the facility. |
<25% |
Occasionally position self to reach heights between floor and 6' |
<25% |
Attend off site compliance related training once per year. Some overnight travel may be required |
<25% |
Horizon Bank is a proud Equal Opportunity Employer | Disability | Veteran Employer.