Compliance and Risk Specialist
Company: Esquire Bank
Posted on: January 15, 2022
Esquire Bank Job Description - Compliance and Risk Specialist
Basic Function: The Compliance and Risk Specialist is responsible
for assisting the Chief Compliance Officer and Risk Officer in
managing enterprise-wide regulatory compliance. The position is
responsible for developing, implementing, reviewing and updating
compliance programs to promote a strong culture of compliance
across all business lines.
Develop, implement and update compliance policies, procedures and
risk assessments to ensure ongoing compliance.
Manage the internal audit process, coordinating deliverables and
Coordinate the review of Bank forms, notices, brochures, and
advertisements for compliance with laws and regulations,
coordinating with legal counsel, marketing and other personnel as
Manage the development and maintenance of appropriate training
curriculum for all staff members regarding consumer protection laws
Assist with product and service risk assessments and regulatory
exams as necessary.
Assist Bank management with the handling of consumer complaints
against the Bank, working with legal counsel and regulatory
agencies when appropriate.
Participate in the compliance and operational monitoring program by
performing random periodic tests/reviews and report exceptions to
the appropriate personnel for correction and/or retraining as
Other projects as assigned.
Ensure that all activities are performed in compliance with
federal, state and Bank Secrecy Act regulatory requirements.
Background & Experience:
Knowledge of compliance laws and regulations, 1-2 years regulatory
compliance experience preferred
Microsoft Office skills
Working knowledge of banking operations, including branch, deposit
and loan operations
Ability to work independently with minimal supervision and in
Strong communications and interpersonal skills with ability to
interact with all levels of the organization
Ability to multi-task and consistently meet deadlines
Keywords: Esquire Bank, New Rochelle , Compliance and Risk Specialist, Other , Jericho, New York
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