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Compliance Officer

Plains State Bank

Humble, TX

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JOB DETAILS
JOB TYPE
Full-time
QUALIFICATIONS
  • Bachelor’s degree required, preferably in Finance, Accounting, or Economics, or equivalent combination of education and experience.
  • MBA preferred.
  • A minimum of 7 years of experience in bank administration and compliance.
RESPONSIBILITIES
  • Develops, implements and administers all aspects of the Bank’s Compliance Management Program; performs duties as the Bank’s Compliance Committee chairperson; assists independent, state and federal regulator auditor inquiries; conducts risk assessments; reviews and writes compliance related policies and procedures; makes recommendations to the Board of Directors and Senior Management when appropriate; submits annual reports to the Board of Directors detailing compliance issues.
  • Maintains a proficient knowledge of all applicable banking rules and regulations.
  • Assists BSA Officer with some aspects of the Bank Secrecy Act/AML/OFAC compliance requirements; monitor account transactions to ensure compliance with federal regulations; prepare Suspicious Activity Reports as needed
  • Administers major compliance activities of the administrative, lending and operational area of the Bank, including resources and facilities, products and services, and policies and procedures.
  • Works closely with the Chief Risk Officer; develops strategic plans, reviews reports; organizes plans and makes recommendations for major compliance initiatives involving functional changes within the Bank and budgets.
  • Identifies and mitigates potential risk issues against the Bank; interacts with Bank personnel pertaining to such issues.
  • Oversees actions of comprehensive self-testing, independent third party and regulatory audits; makes necessary preparations for such audits or exams; coordinates responses to external auditors and regulatory examiners; ensures deficiencies identified from such audits and examinations are corrected.
  • Verifies the accuracy of APY and APR calculations for system, disclosure and advertising purposes.
  • Maintains a Compliance Library for the Bank; ensures materials are current and available for use and reference.
  • Develops and administers various forms to assure the use of correct and updated forms by Bank personnel.
  • Ensures compliance with all applicable reporting and recordkeeping requirements.
  • Ensures timely distribution of related materials and publications to designated personnel.
  • Conducts compliance training presentations and exercises for all Bank personnel, including material presented to employees during the new hire orientation process.
  • Responsible for coordination of the administration of all reporting department policies and procedures.
  • Consistently applies superior decision making techniques pertaining to inquiries, approvals and requests as they apply to existing policies and procedures, keeping within assigned approval limits and using these instances as learning tools for employee development.
  • Assumes responsibility for special projects, gathers data and prepares reports for Senior Management, audits and other personnel.
  • Processes, solves and answers complex customer transactions, problems or inquiries.
  • Answers telephones, answers questions and directs callers to proper Bank personnel.
  • Treats people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; accepts responsibility for own actions.
  • Demonstrates knowledge of and adherence to Equal Employment Opportunity (EEO) policy; shows respect and sensitivity for cultural differences; educates others on the value of diversity; promotes working environment free of harassment of any type; builds a diverse workforce and supports affirmative action.
  • Assures compliance with all Bank policies and procedures and all applicable state and federal banking laws, rules and regulations.
  • Completes administrative tasks correctly and on time; supports the Bank’s goals and values; benefits the Bank through outside activities.
    Performs the position safely, without endangering the health or safety to themselves or others and will be expected to report potentially unsafe conditions.  The employee shall comply with occupational safety and health standards and all rules, regulations and orders issued pursuant to the OSHA Act of 1970, which are applicable to one’s own actions and conduct.
BENEFITS
Paid Time-Off, 401K Match, Employee Referral Program, Paid Sick Days, 401K, Medical, Dental, Vision
LOCATION
Humble, TX
POSTED
16 days ago

The Compliance Officer is responsible for developing, implementing and administering all aspects of the Bank’s Compliance Management Program.  This position plans, organizes, and controls the Bank’s day to day administrative, lending and operational compliance activities; collaborates with the Chief Operations Officer in the overall administration of these directives for the Bank.  Participates in various committees, audits and examinations.  Conducts staff training related to new hires, compliance, customer service, and host and software computer programs.  Advises the Board of Directors, Senior Management and Bank personnel of emerging compliance issues and consults and guides the Bank in the establishment of controls to mitigate risks.  

About the Company

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Plains State Bank

We’re always looking for bright individuals to join our growing organization. As a part of the Plains State Bank Family, we will invest in your development and provide a dynamic work environment where you’re challenged, valued and empowered every day. Our culture embraces diversity and collaboration and we celebrate innovation and change. We are one team, working together to get things done.

COMPANY SIZE
51 - 200
HEADQUARTERS
Humble, TX, US