Compliance Senior - Columbus

Position Description

Title: Compliance Staff/Senior

Exempt or Non-Exempt: Exempt

Work Area | Department: Columbus Office/Remote | Financial Services - Regulatory Compliance & Consulting Services

Position Statement

GBQ is looking for a Compliance Staff/Senior to join our Financial Services Compliance and Consulting team. We are looking for a professional with a solid understanding of Automated Clearing House (ACH) rules and procedures, and electronic payments regulations to include Reg E, person to person payments and funds transfers to actively participate in serving financial institutions in compliance audits and consulting engagements. This individual will also assist with the execution of other general compliance engagements such as those related to BSA/AML, SAFE Act, 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.

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

• 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 on client engagements.
• Comprehend and summarize complex issues and perform technical research.
• Ability to complete assignments timely and accurately.
• Demonstrate ability to work additional hours necessary 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

• Expert-level knowledge of state and federal credit union and banking regulations applicable to assigned compliance engagements.
• BA or BS in accounting or a related field; additional experience or certifications may be considered in lieu of degree.
• 3-7 years compliance experience with a financial institution (bank, credit union, public accounting firm).
• Accredited ACH Professional (AAP), Credit Union Compliance Expert (CUCE), fundamental knowledge of Anti-Money Laundering, Bank Secrecy Act, Customer Identification Program, and USA Patriot Act, or other relevant professional certifications or areas of compliance expertise a plus.
• Experience submitting written or oral reports of audit results to senior management and audit committees and communicating findings, analysis, conclusions, and recommended actions.
• Knowledge and practical use of statistical analytics and testing methods. Ability to analyze and interpret data.
• 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.