What are the responsibilities and job description for the Compliance Manager/Senior Manager position at GBQ Holdings LLC?
Job Description
Job Description
Position Description
Title : Compliance Manager / Senior Manager
Exempt or Non-Exempt : Exempt
Work Area | Department : Columbus Office / Remote | Financial Services - Regulatory Compliance & Consulting Services
Position Statement
GBQ seeks a Compliance Manager / Senior Manager to join our Financial Services Compliance and Consulting team. This individual will execute general compliance testing engagements such as those related to BSA / AML, SAFE Act, Truth in Savings, and Lending. Projects are fast-paced, and work is delivered as part of a team. This position is for self-starters who will work primarily remotely; however, limited travel may be required depending on client requirements.
Tasks
Execute compliance and consulting engagements to include compliance assessment, internal control testing, risk identification, transaction analysis, documentation review, and preparation of comprehensive audit reports detailing findings, recommendations for improvement, and potential areas of concern.
Consult and communicate with department leaders and client personnel to complete compliance and consulting engagements.
Develop opportunities and relationships for client growth and empowerment.
Identify and seek opportunities for cross-service client engagements.
Profitability
Complete assignments within established budget for assigned areas and monitor and report the actual hours incurred compared to the budget for assigned client engagements.
Achieve charge hour budget and meet hour expectations established by Firm.
Participate in “approved” non-client initiatives to improve firm administration.
Consistently utilize all firm and department software efficiently.
Complete and ensure completion of accurate, neat, and organized workpapers that are free of errors.
Practice Growth
Represent firm and build relationships by participating in outside activities.
Demonstrate strong leadership skills while working on client work and firm related projects.
Demonstrate excellent written and verbal communication skills.
Client Focus
Commitment to client service and client experience by performing accurate and timely engagements, offering resources and advice, and displaying professionalism in all interactions.
Demonstrate effective communication, presentation, and organization / time management skills to work effectively in a fast-paced environment.
Ability to research and analyze regulations and to develop and implement practical solutions.
Identify process improvements resulting in efficiencies in client engagements.
Comprehend and summarize complex issues and perform technical research.
Ability to complete assignments timely and accurately.
Demonstrate ability to meet client deadlines.
Brand Culture | Development
Must work well both independently and as part of a team.
Ability to self-manage and create accurate and timely deliverables in a remote environment.
Exemplify Brand Attributes of the Firm.
Adhere and ensure compliance with all administrative policies and procedures of the Firm.
Demonstrate ability to address conflict with peers and subordinates.
Consistently enhance and develop individual, professional and technical skills.
Provide timely feedback to direct reports and identify coaching and mentoring opportunities to assist in development of the associate.
Work Experience | Education
Strong to expert-level knowledge of state and federal credit union and banking regulations applicable to assigned compliance engagements including BSA / AML, Consumer Lending, Real Estate Lending, ACH and Payment Systems, Truth in Savings and deposit operations.
BA or BS in related field; experience or certifications may be considered in lieu of degree.
3-5 years compliance experience with a financial institution (bank, credit union, public accounting firm).
Accreditations such as Credit Union Compliance Expert (CUCE), Certified Anti-Money Laundering Specialist (CAMS), Certified Bank Secrecy Act Professional (CBSAP), Accredited ACH Professional (AAP), or other relevant professional certifications or areas of compliance expertise a plus. Willingness to obtain necessary training and accreditations.
Working knowledge of the real estate lending, consumer lending and deposit processes and compliance requirements.
Experience communicating to senior management and Board of Directors.
Knowledge and practical use of statistical analytics and testing methods. Ability to Experience communicating to senior management and Board of Directors.
Strong proficiency in the use of technology and basic PC applications (Microsoft Excel & Microsoft Word).
Organizational Relationships
Will report directly to a Performance Manager who will provide any necessary guidance relative to administrative issues or work performance through the formal evaluation process.
May supervise staff members on client engagements.
May perform roles of performance manager for staff members.
Special Requirements
Occasional travel may be required; however, this is primarily a remote position.
Reliable transportation for on-site client work.
Ability to work evenings and weekends based on time of year and client demands, if required.
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