Compliance Assistant

Job Details

Description

General Purpose

The Compliance Assistant is the first level in the Compliance Specialist series. While working under close supervision, the Compliance Assistant assists with the preparation and completion of regulatory compliance documents.

Essential Duties/Responsibilities

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• As the front line for the department, performs a variety of clerical tasks to include answering phones, referring phone calls, and working directly with bank employees to answer questions that are able to be answered immediately.
• Assists Compliance Analysts, Compliance Specialists and the Compliance Supervisor with the preparation and completion of banking regulatory compliance documents.
• With guidance, identifies improper procedures or documentation.
• Researches issues and makes recommendations to senior staff and/or supervisor to improve policies or procedures.
• Promotes a risk-aware culture, ensures efficient and effective risk and compliance management practices by adhering to required standards and processes.
• Assists in the preparation of documents for audits and examinations.
• Relies on instructions and pre-established guidelines to perform the function of the job.
• Regular and reliable on-site attendance is an essential function of this job.
• Performs other duties as assigned.
  
  

Employees are held accountable for all duties of this job.

Job Qualifications

Knowledge, Skills, and Ability:

• With guidance, ability to make independent decisions and developing solid judgement.
• Basic understanding of how to recognize aberrations in regulatory compliance situations.
• Familiar with standard banking concepts, practices, and procedures regarding bank compliance.
• Ability to tactfully work with co-workers, internal customers and management.
• Knowledge of when to refer to a supervisor or senior staff when issues becomes challenging or complicated.
• Knowledge of Personal Computer (PC) skills, including Excel, Word and Outlook.
• Strong oral and written communication skills.
• Skill in research and problem resolution.
• Ability to assist other Alpine Bank Compliance staff.
• Ability to understand banking security related regulations, policies and procedures.
• Ability to analyze banking activities and characteristics to assess potential risk.
  
  

Education Or Formal Training

• High School Diploma or General Education Diploma (GED) equivalent required.
• Bachelor’s Degree in Finance, Accounting, Business or similar preferred.
  
  

Experience

• One (1) to Three (3) years of working with regulatory documents preferably in a financial or banking environment required.
• An equivalent combination of education and experience may be substituted on a year to year basis.
  
  

Working Conditions

Working Environment

This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines.

Physical Activities

These are representative of those which must be met to successfully perform the essential functions of this job.

While performing the duties of this job, the employee is regularly required to talk or hear. This is largely a sedentary role; however, some filing is required; it would require the ability to reach for and lift files, open filing cabinets and bend or stand on a stool as necessary. Specific vision abilities required by this job include close vision, distance vision, color vision, and ability to adjust focus. Employee may have to lift up to 25 pounds.

Note: This job description is not intended to be an exhaustive list of all duties, responsibilities, or qualifications associated with the job.

Starting Rate of Pay is between $19.75 to $24.75 per hour, depending on experience.

For an overview of our employee benefits please visit: Alpine Bank Careers Page

Position anticipated to close December 31, 2024, or until filled.