- Serves as compliance subject matter expert (SME) to assigned business unit(s), communicating the latest regulatory changes and trends to the appropriate functional area(s); also, assists those areas in implementing corresponding internal control changes through consultation, training, and support.
- Administers development & maintenance of compliance risk assessments, including regulatory applicability matrices and process risk control inventories, to evaluate compliance exposure for assigned business lines' new & existing products, services, processes, and other activities, including third-party vendor relationships (both new and existing).
- Conducts second line of defense monitoring and testing activities over assigned business unit(s), following approved procedures and schedules; also, evaluates first line of defense monitoring and testing happening within the business unit(s).
- Creates written reports of compliance reviews for presentation to Board-level committees; also, submits and tracks control deficiencies, analyses, conclusions and recommendations through the compliance issue tracking system.
- Participates in the development and expansion of compliance procedures and controls as indicated through routine monitoring of and communication with assigned business unit(s).
- Follows up with respective internal partners to ensure recommended actions are implemented and effective.
- Monitors the assigned business unit's policies, procedures, forms, job aids, etc. on an ongoing basis to ensure they are accurate, current and in compliance with all corresponding regulations.
- Works with assigned business line(s) and Marketing to review advertisements in order to ensure adherence to all relevant regulatory and policy requirements.
- Investigates, tracks and responds to customer complaints bearing on assigned business unit(s), if the complaint contains a regulatory element, using the Bank's complaint tracking system.
- Develops training materials and participates in compliance trainings to assist the Compliance Learning & Development Specialist, as needed.
- Assist with the communication of compliance initiatives to partners throughout the bank, including contributing to the departmental newsletter.
- Assist with regulatory compliance training-related items, including the computer-based training system.
- Maintain understanding of the bank's products, services, geographic locations, and the potential risks associated with those activities.
- Assist with coordination of federal and/or state regulatory agency examiners during examinations. Furnish examiners with requested information.
- Conduct special projects, as needed.
- Perform other duties, as assigned.
- BS/BA Business or Related Field (or substitute work experience)
- Minimum of 1-3 years of experience in banking operations with knowledge state and federal regulatory requirements with concentration in Consumer Compliance.
- Strong knowledge of State and Federal regulatory requirements.
- Strong knowledge of banking principles and operations.
- Strong organizational and time management skills.
- Ability to function in a multi-task environment.
- Excellent verbal and written communication skills required; must demonstrate ability to tactfully communicate with and gain respect of all employees.
- Extensive knowledge of bank policies and procedures.
- Strong analytical and problem solving skills.
- Ability to define problems and propose solutions.
- Ability to work independently with limited direction from supervisor.
- Strong PC skills (Excel and Word)
- Proficiency with automated compliance monitoring program
- Ability to read, analyze and interpret government regulations, trade journals and legal documents.
- CRCM certification (or similar) helpful, but not required
- 401(k) with a company match of up to 6%
- ESOP employer match
- Medical insurance
- Dental insurance
- Vision insurance
- Cancer / Disease insurance
- Accident insurance
- Flexible Spending Accounts
- Health Savings Accounts
- Bank paid Life / AD& D insurance
- Voluntary Life / AD&D insurance
- Bank paid Short-Term and Long-Term Disability insurance
- Employee Stock Purchase Plan
- Employee Assistance Program
-
compliance advisor
1 week ago
Stock Yards Bank & Trust Louisville, United StatesCoordinates and improves the compliance management system through the following: Serves as compliance subject matter expert (SME) to assigned business unit(s), communicating the latest regulatory changes and trends to the appropriate functional area( Compliance, Advisor, Monitori ...
-
Robert W. Baird & Company, Inc. Louisville, United StatesConduct retail branch office examinations, including targeted interviews of Financial Advisors and On-Site Supervisors. Test, assess, document and report on the adequacy and effectiveness of PWM Supervision. Leverage resources to provide accurate and Compliance Officer, Complianc ...
-
Compliance Officer
4 days ago
Baird Louisville, United StatesThis is a great opportunity to join Baird's Compliance Team supporting the firm's Private Wealth Management (PWM) business as we continue to grow. The Branch Oversight Team within the PWM Compliance Unit is responsible for several core compliance functions, including branch offic ...
-
Compliance Officer
4 days ago
Baird Louisville, United StatesThis is a great opportunity to join Baird's Compliance Team supporting the firm's Private Wealth Management (PWM) business as we continue to grow. The Branch Oversight Team within the PWM Compliance Unit is responsible for several core compliance functions, including branch offic ...
-
Tax Manager
5 days ago
Forvis Louisville, United States& Requirements · FORVIS Private Client tax advisors provide sophisticated tax compliance, consulting, and planning services to individuals, multi-generational families, fiduciaries, and more. Our professionals include CPAs and JDs. · The Tax Manager serves as a trusted advisor ...
-
Tax Manager
1 week ago
FORVIS Louisville, United States& Requirements · FORVIS Private Client tax advisors provide sophisticated tax compliance, consulting, and planning services to individuals, multi-generational families, fiduciaries, and more. Our professionals include CPAs and JDs. · The Tax Manager serves as a trusted advisor ...
-
Client Services Associate
1 week ago
Vaco Louisville, United States· Vaco has partnered with a company seeking a proactive and client-focused individual to join their dynamic team as a Client Services Associate in the wealth management industry. The Client Services Associate will play a pivotal role in ensuring exceptional service delivered to ...
-
Financial Aid Leader
5 hours ago
Paul Mitchell Schools Louisville, United StatesPaul Mitchell the School of Louisville, KY is seeking to hire a full-time Financial Aid Leader / Financial Aid Advisor to create and implement the financial aid plan for our students and guide them through the process. Have you been searching for a rewarding career in higher educ ...
-
Group Controller
1 week ago
SSW Advanced Technologies Louisville, United StatesSSW Advanced Technologies, LLC is a growing multinational supplier to the global appliance OEMs. With more than 70 years of expertise and innovation, we design and sell components and systems to the residential appliance industry (refrigeration, cooking, laundry), commercial refr ...
-
Director of Operations
1 week ago
Varra Financial Louisville, United StatesJob Description · Job Description · Job Title: Director of Operations · Reports to: · Chief Operations Officer · Location: · Louisville, Colorado- In office position · About Us: · We are a dynamic financial planning firm dedicated to providing exceptional service and innovat ...
-
Wealth Advisor, Portfolio Manager
1 week ago
CFA Institute Louisville, United StatesBartlett manages over $8 billion in assets and has offices in three cities, with a total of 78 employees. Wealth management at Bartlett is a team approach to providing customized investment management and financial planning solutions for our clients. At Bartlett, we live by our v ...
-
Wealth Advisor, Portfolio Manager
1 week ago
Bartlett Wealth Management Louisville, United StatesBartlett manages over $8 billion in assets and has offices in three cities, with a total of 78 employees. Wealth management at Bartlett is a team approach to providing customized investment management and financial planning solutions for our clients. At Bartlett, we live by our v ...
-
US Tax Senior
1 week ago
Wood Mackenzie Louisville, United StatesIn the middle of the energy transition, businesses and governments are faced with significant challenges. But the pace and scale of change mean every decision is made under mounting pressure. Now, more than ever, companies need reliable data, analytics and actionable insight. · ...
-
Tax Manager
1 week ago
Cerity Partners Louisville, United StatesJob Details · Level · Management · Job Location · Louisville Office - Louisville, KY · Position Type · Full Time · Education Level · 4 Year Degree · Salary Range · $90, $110,000.00 Salary/year · Job Category · Accounting · At Cerity Partners, the Tax Manager is an int ...
-
KPMG Louisville, United States**Business Title:** Associate Director, Contingent Workforce Operations Leader · **Requisition Number:** · **Function:** Business Support Services · **Area of Interest:** · **State:** KY · **City:** Louisville · **Description:** · Known for being a great place to work and build ...
-
Case Management Manager Full Time Days
5 days ago
Baptist Health Louisville, United States Full timeJob Description:Full Time 40 weekly hours, day shiftJob Summary:The manager is responsible for the overall development and management of the Cooperative Care Program.Principal Duties and Responsibilities:The following is a summary of the major functions of this individual's job. ...
-
Senior Director of Accounting
1 week ago
Churchill Downs Incorporated Louisville, United StatesSUMMARY: · The Senior Director of Accounting is responsible for the financial and accounting functions within a specific functional area of the Company. Responsibilities include assisting in the development and overseeing of accounting policies, practices, and procedures to ensu ...
-
Client Service Manager
1 week ago
ADP Louisville, United States**Client Service Manager II-172613** · Req Number: · Category: Client Service · Posted Date: January 20, 2022 · Work Location(s): Louisville , KY , US **ADP is hiring a Key Account Executive.** The Key Account Executive (KAE) strengthens the connection with clients through se ...
-
Chief Financial Officer
1 week ago
Wipfli - Human Resource Consulting Louisville, United StatesLocation: · Louisville, KY · Posted: · 5/9/2024 · We are assisting our client, SUL4R-PLUS (S4+) with the recruitment and selection of a strategic Chief Financial Officer. SUL4R-PLUS is a subsidiary of the family office CEP Holdings Inc. The organization is made up of a tight- ...
-
Group Controller
5 days ago
SSW Advanced Technologies Louisville, United StatesSSW Advanced Technologies, LLC is a growing multinational supplier to the global appliance OEMs. With more than 70 years of expertise and innovation, we design and sell components and systems to the residential appliance industry (refrigeration, cooking, laundry), commercial refr ...
Compliance Advisor - Louisville, United States - Stock Yards Bank & Trust
Description
The Compliance Advisor is responsible for facilitating all aspects of the compliance management system (policies & procedures, monitoring & testing, consumer complaint response, and training) in partnership with frontline stakeholders in their assigned business unit(s).
This position will assist in tracking the effectiveness of the compliance program by conducting ongoing reviews and transaction testing.Responsibilities
Daily responsibilities include, but are not limited to, the following:
Coordinates and improves the compliance management system through the following:
Other Functions:
The successful candidate will have the following qualifications:
The physical demands described here are representative of those that must be met by an employee in order to successfully perform the essential functions of this job.
This position requires sitting the majority of the time with limited walking and standing. All work occurs indoors and within regular working hours. The noise level in the work environment is usually moderate.
