Compliance Officer II
1. Plans and conducts compliance reviews within established timeframes, ensuring all reviews conform to established departmental policies and procedures. Prepares working papers and detailed reporting of findings and recommendations, including any identified violations, exceptions, other findings, and best practices.
2. Recommends enhancements and changes to the compliance review program to ensure effectiveness.
3. Works closely with other business units to monitor and follow up on issues discovered during internal or external compliance reviews to ensure corrective action is taken.
4. Facilitates, maintains, and enhances, as needed, a comprehensive, risk-based compliance training program for new and existing employees.
5. Reviews proposed marketing materials for approval ensuring compliance and risk factors are adequately addressed.
6. Answers questions regarding compliance-related issues, including researching and collaborating with internal and external compliance resources as appropriate.
7. Interacts with Senior Management in coordinating appropriate responses to identified compliance risk concerns within the organization.
8. Monitors new and pending changes to laws, regulations, and regulatory guidance documents that may impact the organization and assists in the implementation of new requirements.
9. Complete risk assessment(s) and serve as a compliance resource during the implementation of new products, processes, and services.
10. Assists with review and implementation of new or enhanced policies and procedures.
11. Provides back-up to Compliance Department Senior Management when required.
12. Adheres to compliance procedures and participates in required compliance training.