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Associated Bank
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Job Location: Green Bay, Wisconsin
Job Type: Full-time
Shift:
Day Job
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Compliance Quality Assurance Specialist-1310434
Description
The employment policy of Associated Banc-Corp, and its subsidiaries and affiliates (Associated) provides equal opportunity to all persons. We support a diverse and inclusive work environment where colleagues are respected, treated fairly, and given equal opportunities to perform to their fullest potential. We believe it is only with a diverse and inclusive workplace that the organization can truly perform at its best, carry out its vision, and make a difference for the communities we serve.
JOB SUMMARY
Under direction of the Compliance Quality Assurance (CQA) Manager and/or the CQA team lead, executes a compliance-monitoring program for a particular assigned area to ensure regulatory compliance procedures and controls are operating effectively. Interface with business line management to confirm results of the monitoring program and determine the root cause of any identified issues. Ensure all work is supported by facts, is properly documented and reported to the CQA team lead or Manager.
KEY RESULT AREAS
Assessment of compliance with regulations
Identification of areas for improvement
Improved policies and procedures
Increased organizational awareness of compliance issues
COMPETENCIES
Understanding of bank operations and related regulatory requirements, especially in assigned area(s)
Strong analytical skills and attention to detail
Ability to identify root causes of issues uncovered
Good written and oral communication skills
Exhibits consultative and diplomacy in dealing with business lines/entities
JOB ACCOUNTABILITIES
1. Execute and maintain a risk-based monitoring program for the area(s) assigned to ensure compliance with related federal and state financial services regulations. Complete programs within budgeted hours with an explanation for any variances.
2. Document work and ensure all issues are fully supported.
3. Continue to enhance knowledge of regulatory requirements in assigned area and keep abreast of regulatory changes and new laws and regulations.
4. Research regulatory questions and seek concurrence of team lead and/or manager prior to communication with business line/entity.
5. Consult with management on development or revision of policies and procedures to ensure compliance with regulatory requirements.
6. Develop robust and risk-based Points for Discussion for CQA Manager review and discussion with applicable management.
7. Other duties as assigned
Qualifications
JOB SPECIFICATIONS
Minimum Education
Associate or Bachelors Degree in accounting, finance or business
Preferred Education
Associate or Bachelors Degree in accounting, finance or business
Minimum Experience
1-3 years of experience in bank operations
Preferred Experience
1-3 year of experience in bank operations with emphasis in regulatory compliance
Special Skill Requirements Computer Skills/Licensing/Certifications/Bonding
Proficient in Microsoft Office (Word, Excel, Power Point, Access, Visio)
Other Duties and Responsibilities
Performs other duties as assigned.
Job Requirements
Adherence to Company policy and procedures is required.
Perform duties in accordance with the Vision & Values of Associated Banc-Corp.
Regular attendance is required.
Basic math and reading skills, and attention to detail.
Use of basic office equipment (e.g., photocopier, voice mail, "fax" machine, calculator, multiple line telephones, typewriter, computers etc.).
Represent the organization in a professional and positive manner.
Travel
Limited travel (5-15%) expected.
Job: Compliance/Risk
Schedule: Full-time
Shift: Day Job
Primary Location: Wisconsin-Green Bay
Other Locations: Wisconsin-Milwaukee
Work Locations: GREEN BAY-SOUTHRIDGE
2985 S Ridge Rd
Green Bay 54304
Associated Bank
We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.
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