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Associated Bank
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Job Location: Milwaukee, Wisconsin
Job Type: Full-time
Shift:
Day Job
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Compliance Quality Assurance Officer I-1311359
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 assigned CQA team lead, executes assigned compliance monitoring programs to ensure regulatory compliance procedures and controls are operating effectively. Work with the business line/entity to develop, design and implement policies and procedures required to maintain an acceptable level of regulatory compliance, prevent financial loss resulting from fines and penalties and minimize reputation risk resulting from regulatory criticism or errors to customer accounts. Provide support to business lines and entities through the identification and interpretation of banking and related financial services laws and regulations.
KEY RESULT AREAS
Assessment of compliance with laws and regulations
Identification of areas for improvement through root cause analysis
Improved policies and procedures
Increased organizational awareness of compliance issues and their impact
COMPETENCIES
Working knowledge of assigned bank and non-bank operations and the related laws and regulations
Understanding of risks and controls required to ensure compliance with applicable regulations and the ability to assess the effectiveness of controls and the root cause of issues
Problem solving and/or extensive research related to all compliance issues presented to the corporation. The ability to work with Compliance Officers to interpret, reach conclusions, support decisions and convince others is essential.
Ability to communicate orally and in writing in a clear, concise and persuasive manner
Must be a self-motivated self-starter with the ability to work independently and build effective working relationships with all colleagues
Strong project management, organizational, presentation and interpersonal skills
Ability to function in a fast-paced environment and meet tight time/deadline constraints
JOB ACCOUNTABILITIES
1. Execute and maintain a risk-based enterprise-wide monitoring program to measure the organization`s compliance with federal and state banking and related financial services laws and regulations. Execute programs within allocated budget hours.
2. Keep abreast of current and new laws and regulatory requirements. Update monitoring programs accordingly.
3. Research questions concerning laws and regulations and report findings to the responsible areas.
4. Consult with management on the development of policies and procedures to ensure compliance with relevant laws and regulations.
5. Document monitoring ensuring all issues are fully supported and work papers are complete.
6. Develop robust and risk-based Points for Discussion and discuss with applicable management.
7. Assist CQA Lead as needed.
8. Conduct closing meetings to discuss monitoring results.
9. Other duties as assigned.
Qualifications
JOB SPECIFICATIONS
Minimum Education
Bachelors Degree in accounting, finance, business or law
Preferred Education
Bachelors Degree in accounting, finance, business or law
Minimum Experience
College degree and experience working in a professional office setting
Preferred Experience
3-5 years of external/internal audit, compliance or regulatory examination experience or equivalent experience in banking operations with an emphasis on regulatory compliance issues
Special Skill Requirements Computer Skills/Licensing/Certifications/Bonding
Proficient in Microsoft Office (Word, Excel, Power Point, Access, Visio) and Adobe Professional
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
Travel of 15-25% may be required to various affiliate office or service centers. Overnight travel may be required.
Job: Compliance/Risk
Schedule: Full-time
Shift: Day Job
Primary Location: Wisconsin-Milwaukee
Other Locations: Wisconsin-Green Bay
Work Locations: MILW-PLAZA EAST
330 E Kilbourn Ave
Milwaukee 53202
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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