Summary:

This position is responsible for the design, implementation, and ongoing maintenance and performance of the banks’ Compliance Testing Program. This program will include sampling and testing methodologies, procedures, frequency and scope guidance, and reporting processes for providing results to management and the banks’ boards. This includes monthly, quarterly, semi-annual, annual, and ad hoc testing. The testing program will include reviews of bank transactions, customer records, loan files, and other documentation to ensure compliance with applicable regulatory and statutory requirements. This position will also supervise Compliance Testing Analysts and will be responsible for managerial responsibilities such as ongoing supervision, performance review, training and coaching, staff development, and employee administration duties. This position supports banks within Dickinson Financial Corporation.

Principal Accountabilities:

• Implement and maintain a comprehensive compliance testing program encompassing all banks and all business units within those banks.
• Perform testing as required in accordance with compliance testing program, including monthly, quarterly, semi-annual, and annual compliance testing tasks.
• Engage in root cause analysis related to compliance testing errors and work with Compliance Officers and business units on appropriate corrective actions as directed by supervisor
• Prepare monthly board and management reports on results of compliance
• Assist in compliance risk assessment duties as directed by supervisor
• Participate in interactive assessment sessions with the department manager
• Cross-train to other roles in Compliance department and provide backup support as directed
• Maintain current knowledge of laws, regulations, policies, and procedures applicable to the job assignment.
• Ensure that appropriate compliance training is scheduled and delivered to all employees under supervision of this role.
• Perform managerial duties associated with subordinate employees including hiring, training, performance review, salary administration, and other employee administrative duties as required under the banks’ HR policies.
• Understands, embodies, communicates, and instills corporate initiatives and vision, including the six Pillars of Success.
• Maintains client information in complete confidence.
• Completes other specified duties as assigned.
• Regular attendance required, working at the assigned worksite, or assigned remote location during regular business hours and/or assigned hours.