Regulatory Compliance Specialist jobs at Capital One - 648 jobs

WHAT IS THE OPPORTUNITY? Position is responsible for performing risk analysis and assessment of compliance regulations, identifying risks and controls, monitoring business unit control environment, drafting and maintaining remediation plans and issues tracking logs, and escalation of compliance issues. The incumbent is responsible for playing a critical role in the issues remediation strategy for compliance identified issues and ensuring issues are closed in a manner which both adheres to the regulatory requirements and ensures business continuity. WHAT WILL YOU DO? Reviews/challenges compliance risk assessments, analyzing the Bank's compliance risk; determine if current processes control risk. Analyze new and changing laws and regulations and development of implementation strategies. Maintain updates to compliance policies, procedures, and training for new or revised laws and regulations. Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes. Performs research on regulations and provides guidance to business operations (divisions) on compliance requirements. Create, maintain and update reporting of compliance test results along with comparable line of business QA testing results. Conduct meetings to discuss testing and risk assessment results and lead line of business to remediation plans. Works with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs and other tracking reports as deemed necessary. Conduct regulatory compliance monitoring activities as assigned and maintain appropriate work papers Performs compliance reviews on specific loan-level accounts, as required. Complies fully with all Bank Compliance policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.). Provide guidance on regulations, requirements, and Bank procedures. Conducting and documenting reviews and addressing findings with employees and supervisors. Drafting and maintaining employee training for assigned topic areas. Analyze the Bank's compliance risk; determine if current processes control risk. Completes all required training. Other duties and special projects as assigned. WHAT DO YOU NEED TO SUCCEED? Required Qualifications* Bachelor's Degree or equivalent Minimum 5 years' experience working with Federal and State compliance regulatory matters Minimum 5 years' experience in banking, consumer finance, retail banking compliance, mortgage banking or working in a legal department Minimum 3 years' experience with managing projects or processes Additional Qualifications College degree preferred. Relevant, equivalent work experience may be substituted for degree preference. Good knowledge and relevant work experience with bank credit, deposit, operations regulations (as applicable/assigned). Knowledge and experience with traditional bank products and services and/or reviewing marketing materials is a plus. Knowledge of Regulations E, CC, DD and activities relating to digital account services. Ability to influence/motivate others to produce desired results. Ability to operate effectively in a fast paced environment. Excellent organizational and analytical skills. Ability to communicate clearly and professionally with all levels of an organization. Excellent written and verbal communications skills. Effective interpersonal skills. Proficiency in multi-tasking and prioritizing projects. Excellent time management skills and be accustomed to working with deadlines. Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus. Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs. WHAT'S IN IT FOR YOU? Compensation Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including: Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date Generous 401(k) company matching contribution Career Development through Tuition Reimbursement and other internal upskilling and training resources Valued Time Away benefits including vacation, sick and volunteer time Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs Career Mobility support from a dedicated recruitment team Colleague Resource Groups to support networking and community engagement Get a more detailed look at our Benefits and Perks. ABOUT US Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at About Us. INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law. It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability. *Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled. Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job. #LI-JR1 #CR-JR

A leading credit union is seeking a Mortgage Risk Analyst I based in Marlborough, MA. This full-time, hybrid role involves ensuring regulatory compliance for mortgage loans and home equity lines. Candidates should have 5-7 years of experience in mortgage lending and a BA/BS Degree. The position focuses on tracking quality assurance testing results, working with compliance departments, and managing large data sets. We value diversity and provide a supportive work environment. #J-18808-Ljbffr

Back Compliance Officer - Brokerage - Securities Admin #52-8478 Multiple Locations Apply X Facebook LinkedIn Email Copy Location This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be across all markets within the WesBanco footprint. Market Charleston Work Hours per Week 37.5 Requirements Associates Degree in Business, Finance, Accounting or related degree preferred. Minimum of three years of experience in the securities industry. Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor. Series 7 Series 63 & 65 or 66 Series 24 or Series 9/10 - Must be obtained within 90 days of start date. State Insurance licensed Job Description SUMMARY: Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations. Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In addition, expected to make recommendations to management for closing gaps identified during the reviews. The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required. CUSTOMER SERVICE SKILLS: Willingness to provide a level of service which will clearly differentiate us from our competitors. INTERPERSONAL SKILLS: Professional demeanor in appearance, interpersonal relations, work ethic and attitude. Possess clear, concise, effective written and oral communication skills to effectively express thoughts, ideas and concepts to management, bank employees and bank customers in a collaborative and solutions oriented manner. Ability to exercise independent sound, judgment and discretion and understand when assistance is needed. Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors. Strong interpersonal and communication (written and verbal) skills. Ability to evaluate and analyze products and services, and vendors. Represents the Company in civic, community and industry functions to network and develop additional business. ESSENTIAL DUTIES AND RESPONSIBILITIES: Maintain ongoing understanding of FINRA rules and regulations; BSA & AML. Assist with the development of WSI's (WesBanco Securities Inc.) risk and compliance management practices and programs. Ability to disseminate written policies and procedures related to compliance activity. Provide compliance guidance to licensed advisors and licensed bankers and support staff. Assist to resolve complaints. Review new accounts for suitability and best interest and day-to-day broker activity. Assist in review and implementation of WSI's compliance program to ensure effectiveness. Assist with testing of procedures and creation of new procedures with changing regulatory needs. Assist in licensing and FINRA Regulatory & Firm Element and insurance continuing education for all licensed individuals. Assist with internal and external audits. Assist with the formulation/taking correction actions when necessary to respond unexpected compliance events. Review communications of advisors. Assist with compliance review of all marketing/sales material. Assist with various communication and training as needed with staff and registered representatives. Assist with branch reviews. Preparation of various reports. Electronic communication review. Other duties may be assigned. OTHER REQUIREMENTS: Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank's policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner. Ability to administer various filings on the CRD System. In-depth knowledge of a broad range of securities and insurance products. In-depth knowledge of FINRA rules and regulations and Securities and Risk Management principles. In-depth knowledge of current economic and market conditions and legislation. In-depth knowledge of criteria for determining suitability of proposed purchase of securities/insurance products for each individual client's needs. In-depth knowledge of legal principles of client's capacity/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client's behalf. Solid computer skills in Microsoft Office Suite. Full-Time/Part-Time Full-time Area of Interest Risk Management All Locations Uniontown, Ohio, United StatesAnn Arbor, Michigan, United StatesWheeling, West Virginia, United StatesCincinnati, Ohio, United StatesToledo, Ohio, United StatesCleveland, Ohio, United StatesDefiance, Ohio, United StatesFairmont, West Virginia, United StatesFindlay, Ohio, United StatesFrankfort, Kentucky, United StatesFort Wayne, Indiana, United StatesParkersburg, West Virginia, United StatesColumbus, Ohio, United StatesHuntington, West Virginia, United StatesCarmel, Indiana, United StatesIronton, Ohio, United StatesPittsburgh, Pennsylvania, United StatesSissonville, West Virginia, United StatesNew Albany, Indiana, United StatesYoungstown, Ohio, United States Show more

Back Compliance Officer - Brokerage - Securities Admin #52-8478 Multiple Locations Apply X Facebook LinkedIn Email Copy Location This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be across all markets within the WesBanco footprint. Market Charleston Work Hours per Week 37.5 Requirements Associates Degree in Business, Finance, Accounting or related degree preferred. Minimum of three years of experience in the securities industry. Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor. Series 7 Series 63 & 65 or 66 Series 24 or Series 9/10 - Must be obtained within 90 days of start date. State Insurance licensed Job Description SUMMARY: Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations. Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In addition, expected to make recommendations to management for closing gaps identified during the reviews. The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required. CUSTOMER SERVICE SKILLS: Willingness to provide a level of service which will clearly differentiate us from our competitors. INTERPERSONAL SKILLS: Professional demeanor in appearance, interpersonal relations, work ethic and attitude. Possess clear, concise, effective written and oral communication skills to effectively express thoughts, ideas and concepts to management, bank employees and bank customers in a collaborative and solutions oriented manner. Ability to exercise independent sound, judgment and discretion and understand when assistance is needed. Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors. Strong interpersonal and communication (written and verbal) skills. Ability to evaluate and analyze products and services, and vendors. Represents the Company in civic, community and industry functions to network and develop additional business. ESSENTIAL DUTIES AND RESPONSIBILITIES: Maintain ongoing understanding of FINRA rules and regulations; BSA & AML. Assist with the development of WSI's (WesBanco Securities Inc.) risk and compliance management practices and programs. Ability to disseminate written policies and procedures related to compliance activity. Provide compliance guidance to licensed advisors and licensed bankers and support staff. Assist to resolve complaints. Review new accounts for suitability and best interest and day-to-day broker activity. Assist in review and implementation of WSI's compliance program to ensure effectiveness. Assist with testing of procedures and creation of new procedures with changing regulatory needs. Assist in licensing and FINRA Regulatory & Firm Element and insurance continuing education for all licensed individuals. Assist with internal and external audits. Assist with the formulation/taking correction actions when necessary to respond unexpected compliance events. Review communications of advisors. Assist with compliance review of all marketing/sales material. Assist with various communication and training as needed with staff and registered representatives. Assist with branch reviews. Preparation of various reports. Electronic communication review. Other duties may be assigned. OTHER REQUIREMENTS: Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank's policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner. Ability to administer various filings on the CRD System. In-depth knowledge of a broad range of securities and insurance products. In-depth knowledge of FINRA rules and regulations and Securities and Risk Management principles. In-depth knowledge of current economic and market conditions and legislation. In-depth knowledge of criteria for determining suitability of proposed purchase of securities/insurance products for each individual client's needs. In-depth knowledge of legal principles of client's capacity/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client's behalf. Solid computer skills in Microsoft Office Suite. Full-Time/Part-Time Full-time Area of Interest Risk Management All Locations Uniontown, Ohio, United StatesAnn Arbor, Michigan, United StatesWheeling, West Virginia, United StatesCincinnati, Ohio, United StatesToledo, Ohio, United StatesCleveland, Ohio, United StatesDefiance, Ohio, United StatesFairmont, West Virginia, United StatesFindlay, Ohio, United StatesFrankfort, Kentucky, United StatesFort Wayne, Indiana, United StatesParkersburg, West Virginia, United StatesColumbus, Ohio, United StatesHuntington, West Virginia, United StatesCarmel, Indiana, United StatesIronton, Ohio, United StatesPittsburgh, Pennsylvania, United StatesSissonville, West Virginia, United StatesNew Albany, Indiana, United StatesYoungstown, Ohio, United States Show more

Back Compliance Officer - Brokerage - Securities Admin #52-8478 Multiple Locations Apply X Facebook LinkedIn Email Copy Location This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be across all markets within the WesBanco footprint. Market Charleston Work Hours per Week 37.5 Requirements Associates Degree in Business, Finance, Accounting or related degree preferred. Minimum of three years of experience in the securities industry. Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor. Series 7 Series 63 & 65 or 66 Series 24 or Series 9/10 - Must be obtained within 90 days of start date. State Insurance licensed Job Description SUMMARY: Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations. Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In addition, expected to make recommendations to management for closing gaps identified during the reviews. The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required. CUSTOMER SERVICE SKILLS: Willingness to provide a level of service which will clearly differentiate us from our competitors. INTERPERSONAL SKILLS: Professional demeanor in appearance, interpersonal relations, work ethic and attitude. Possess clear, concise, effective written and oral communication skills to effectively express thoughts, ideas and concepts to management, bank employees and bank customers in a collaborative and solutions oriented manner. Ability to exercise independent sound, judgment and discretion and understand when assistance is needed. Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors. Strong interpersonal and communication (written and verbal) skills. Ability to evaluate and analyze products and services, and vendors. Represents the Company in civic, community and industry functions to network and develop additional business. ESSENTIAL DUTIES AND RESPONSIBILITIES: Maintain ongoing understanding of FINRA rules and regulations; BSA & AML. Assist with the development of WSI's (WesBanco Securities Inc.) risk and compliance management practices and programs. Ability to disseminate written policies and procedures related to compliance activity. Provide compliance guidance to licensed advisors and licensed bankers and support staff. Assist to resolve complaints. Review new accounts for suitability and best interest and day-to-day broker activity. Assist in review and implementation of WSI's compliance program to ensure effectiveness. Assist with testing of procedures and creation of new procedures with changing regulatory needs. Assist in licensing and FINRA Regulatory & Firm Element and insurance continuing education for all licensed individuals. Assist with internal and external audits. Assist with the formulation/taking correction actions when necessary to respond unexpected compliance events. Review communications of advisors. Assist with compliance review of all marketing/sales material. Assist with various communication and training as needed with staff and registered representatives. Assist with branch reviews. Preparation of various reports. Electronic communication review. Other duties may be assigned. OTHER REQUIREMENTS: Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank's policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner. Ability to administer various filings on the CRD System. In-depth knowledge of a broad range of securities and insurance products. In-depth knowledge of FINRA rules and regulations and Securities and Risk Management principles. In-depth knowledge of current economic and market conditions and legislation. In-depth knowledge of criteria for determining suitability of proposed purchase of securities/insurance products for each individual client's needs. In-depth knowledge of legal principles of client's capacity/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client's behalf. Solid computer skills in Microsoft Office Suite. Full-Time/Part-Time Full-time Area of Interest Risk Management All Locations Uniontown, Ohio, United StatesAnn Arbor, Michigan, United StatesWheeling, West Virginia, United StatesCincinnati, Ohio, United StatesToledo, Ohio, United StatesCleveland, Ohio, United StatesDefiance, Ohio, United StatesFairmont, West Virginia, United StatesFindlay, Ohio, United StatesFrankfort, Kentucky, United StatesFort Wayne, Indiana, United StatesParkersburg, West Virginia, United StatesColumbus, Ohio, United StatesHuntington, West Virginia, United StatesCarmel, Indiana, United StatesIronton, Ohio, United StatesPittsburgh, Pennsylvania, United StatesSissonville, West Virginia, United StatesNew Albany, Indiana, United StatesYoungstown, Ohio, United States Show more

If you are the kind of person who thrives on organization, accuracy, and keeping all the details buttoned up, this role will put your skills to work. As a Licensing and Ancillary Product Specialist, you will play a key part in ensuring our field agents are properly licensed to sell credit insurance-and that we stay in lockstep with state regulations. You will manage licensing renewals, monitor changes in insurance requirements, and coordinate directly with state departments to keep everything on track. You will also handle claims processing, premium remittance, and the behind-the-scenes work that keeps our ancillary insurance programs compliant and efficient. What You Will Do: Record and submit employee applications and renewals for credit insurance licenses to state departments to include expired licenses for rehires and new employees with prior licenses. Assist with scheduling fingerprinting for the required background checks to ensure licensing compliance and to ensure agents have met all requirements for renewal. Monitor state insurance departments and regulations for updates/changes to licensing requirements and/or and procedures. Develop and maintain pre-licensing study materials for GA applicants. Apply for credit insurance license for new branch locations and assist in resolving issues that arise in background checks. Serve as the go-to liaison between employees and state licensing departments and provide assistance in resolving issues related to background checks. Review GAP contracts submitted by PFS branches and prepare the remittance reports as well as forward contracts and remittances to the insurer. Manage claim submissions and processing for assumed insurance from reviewing claims submitted by customers to ensuring claims are complete and submitted to the correct insurance companies. Retrieve the report of claims paid then forward and/or maintain all information as required to reconcile claim payments. Prepare and remit monthly credit insurance premiums to insurers and reinsured companies. Maintain prompt and regular attendance. What You Bring: High School Diploma or equivalent required. 3+ years of experience in insurance licensing. Strong computer skills (Excel, Word, data entry, and learning branch software systems) Detail-oriented mindset with excellent communication skills. Demonstrated experience maintaining a working relations with customers and agents. Proven ability to manage multiple priorities and deadlines simultaneously. Why You Will Love It Here: You will join a team that values prevision, professionalism, and accountability. Your expertise will directly affect compliance and operational success-and you will have the chance to build strong relationships across departments and state agencies. What We Offer: Top-Notch Training: We're committed to your success, offering training that equips you with everything you need to excel in your role. An EXCELLENT Benefits Package: Medical Insurance (minimal cost to employees) Dental, life insurance, short- and long0term disability Profit sharing, 401(k) with company match Paid sick leave, holidays and vacation time Community Engagement: Join a company that actively contributes to local charities, food banks, schools, and more Career Growth: We believe in promoting from within and providing employees with the tools and support to grow their careers. Stability and Impact: As a leader in the financial services industry since 1955, we are committed to providing safe, reliable financial services to our customer, treating them with respect, and helping them through difficult times. Come Begin Your Story! Apply today! For 70 years, Security Finance has been committed to offering simple and secure installment loans to our community. With our conveniently located branches, you can count on receiving personalized service from people you trust. At Security Finance, we prioritize being responsible stewards of our community, supporting our neighbors in times of need, and treating every customer with the respect they deserve. We specialize in providing quick and simple solutions to financial challenges, but our true motivation is the desire to help our community. This commitment drives everything we do, and we remain focused on our mission to deliver fast, friendly service that not only meets our customers' financial needs but exceed their expectations; to foster a positive, rewarding work environment for our employees based on respect and teamwork; to ensure profitable growth and increased value for our shareholders; and to contribute personally and financially to the communities we serve, embracing a shared responsibility. Note: This position is subject to a background check for any convictions directly related to its duties and responsibilities. Only job-related convictions will be evaluated and will not automatically disqualify the candidate.

Back Compliance Officer - Brokerage - Securities Admin #52-8478 Multiple Locations Apply X Facebook LinkedIn Email Copy Location This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be across all markets within the WesBanco footprint. Market Charleston Work Hours per Week 37.5 Requirements Associates Degree in Business, Finance, Accounting or related degree preferred. Minimum of three years of experience in the securities industry. Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor. Series 7 Series 63 & 65 or 66 Series 24 or Series 9/10 - Must be obtained within 90 days of start date. State Insurance licensed Job Description SUMMARY: Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations. Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In addition, expected to make recommendations to management for closing gaps identified during the reviews. The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required. CUSTOMER SERVICE SKILLS: Willingness to provide a level of service which will clearly differentiate us from our competitors. INTERPERSONAL SKILLS: Professional demeanor in appearance, interpersonal relations, work ethic and attitude. Possess clear, concise, effective written and oral communication skills to effectively express thoughts, ideas and concepts to management, bank employees and bank customers in a collaborative and solutions oriented manner. Ability to exercise independent sound, judgment and discretion and understand when assistance is needed. Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors. Strong interpersonal and communication (written and verbal) skills. Ability to evaluate and analyze products and services, and vendors. Represents the Company in civic, community and industry functions to network and develop additional business. ESSENTIAL DUTIES AND RESPONSIBILITIES: Maintain ongoing understanding of FINRA rules and regulations; BSA & AML. Assist with the development of WSI's (WesBanco Securities Inc.) risk and compliance management practices and programs. Ability to disseminate written policies and procedures related to compliance activity. Provide compliance guidance to licensed advisors and licensed bankers and support staff. Assist to resolve complaints. Review new accounts for suitability and best interest and day-to-day broker activity. Assist in review and implementation of WSI's compliance program to ensure effectiveness. Assist with testing of procedures and creation of new procedures with changing regulatory needs. Assist in licensing and FINRA Regulatory & Firm Element and insurance continuing education for all licensed individuals. Assist with internal and external audits. Assist with the formulation/taking correction actions when necessary to respond unexpected compliance events. Review communications of advisors. Assist with compliance review of all marketing/sales material. Assist with various communication and training as needed with staff and registered representatives. Assist with branch reviews. Preparation of various reports. Electronic communication review. Other duties may be assigned. OTHER REQUIREMENTS: Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank's policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner. Ability to administer various filings on the CRD System. In-depth knowledge of a broad range of securities and insurance products. In-depth knowledge of FINRA rules and regulations and Securities and Risk Management principles. In-depth knowledge of current economic and market conditions and legislation. In-depth knowledge of criteria for determining suitability of proposed purchase of securities/insurance products for each individual client's needs. In-depth knowledge of legal principles of client's capacity/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client's behalf. Solid computer skills in Microsoft Office Suite. Full-Time/Part-Time Full-time Area of Interest Risk Management All Locations Uniontown, Ohio, United StatesAnn Arbor, Michigan, United StatesWheeling, West Virginia, United StatesCincinnati, Ohio, United StatesToledo, Ohio, United StatesCleveland, Ohio, United StatesDefiance, Ohio, United StatesFairmont, West Virginia, United StatesFindlay, Ohio, United StatesFrankfort, Kentucky, United StatesFort Wayne, Indiana, United StatesParkersburg, West Virginia, United StatesColumbus, Ohio, United StatesHuntington, West Virginia, United StatesCarmel, Indiana, United StatesIronton, Ohio, United StatesPittsburgh, Pennsylvania, United StatesSissonville, West Virginia, United StatesNew Albany, Indiana, United StatesYoungstown, Ohio, United States Show more

Primary Office Location:626 Washington Place. Pittsburgh, Pennsylvania. 15219.Join our team. Make a difference - for us and for your future. AML Compliance Specialist 1 Business Unit: Compliance Reports to: Varies Based on Assignment Position Overview: The AML Compliance Specialist is a mid-level professional role responsible for establishing internal procedures to prevent money laundering and assisting in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) department. The overall objective is to utilize established disciplinary knowledge to evaluate risk exposure and formulate strategic recommendations on policies, procedures, and practices. Primary Responsibilities: Complete risk assessments that evaluate the AML and sanctions risk factors and the effectiveness of controls designed to manage those risks. Utilize knowledge of regulatory compliance, analytical reasoning, project management skills, and the financial services industry, to implement and administer compliance processes. Use interpersonal skills as part of a cross-functional team whereby you interact with specific lines of business and management to understand current and prospective practices, consider the impact of new or impending regulatory standards and recommend control enhancements as necessary. Serve as a line of business contact and provide regulatory compliance advice for products, services, and customers. Evaluate and respond to escalated matters, further escalate as required, and advise senior management on next steps as needed. Develop policies, procedures, and training material that support AML risk management. Performs other related duties and projects as assigned. All employees have the responsibility and the accountability to serve as risk managers for their businesses by understanding, reporting, responding to, managing and monitoring the risk they encounter daily as required by F.N.B. Corporation's risk management program. F.N.B. Corporation is committed to achieving superior levels of compliance by adhering to regulatory laws and guidelines. Compliance with regulatory laws and company procedures is a required component of all position descriptions. Minimum Level of Education Required to Perform the Primary Responsibilities of this Position: BA or BS Minimum # of Years of Job Related Experience Required to Perform the Primary Responsibilities of this Position: 3 Skills Required to Perform the Primary Responsibilities of this Position: Excellent project management skills Excellent communication skills, both written and verbal Excellent customer service skills Ability to use general office equipment Ability to use a personal computer and job-related software MS Word - Basic Level MS Excel - Intermediate Level MS PowerPoint - Basic Level Experience in a job related position. Background in banking, business or criminology preferred. Licensures/Certifications Required to Perform the Primary Responsibilities of this Position: N/A Physical Requirements or Work Conditions Beyond Traditional Office Work: N/A Equal Employment Opportunity (EEO): It is the policy of F.N.B. Corporation (FNB) and its affiliates not to discriminate against any employee or applicant for employment because of age, race, color, religion, sex, national origin, disability, veteran status or any other category protected by law. It is also the policy of FNB and its affiliates to employ and advance in employment all persons regardless of their status as individuals with disabilities or veterans, and to base all employment decisions only on valid job requirements. FNB provides all applicants and employees a discrimination and harassment free workplace.

Back Compliance Officer - Brokerage - Securities Admin #52-8478 Multiple Locations Apply X Facebook LinkedIn Email Copy Location This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be across all markets within the WesBanco footprint. Market Charleston Work Hours per Week 37.5 Requirements Associates Degree in Business, Finance, Accounting or related degree preferred. Minimum of three years of experience in the securities industry. Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor. Series 7 Series 63 & 65 or 66 Series 24 or Series 9/10 - Must be obtained within 90 days of start date. State Insurance licensed Job Description SUMMARY: Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations. Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In addition, expected to make recommendations to management for closing gaps identified during the reviews. The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required. CUSTOMER SERVICE SKILLS: Willingness to provide a level of service which will clearly differentiate us from our competitors. INTERPERSONAL SKILLS: Professional demeanor in appearance, interpersonal relations, work ethic and attitude. Possess clear, concise, effective written and oral communication skills to effectively express thoughts, ideas and concepts to management, bank employees and bank customers in a collaborative and solutions oriented manner. Ability to exercise independent sound, judgment and discretion and understand when assistance is needed. Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors. Strong interpersonal and communication (written and verbal) skills. Ability to evaluate and analyze products and services, and vendors. Represents the Company in civic, community and industry functions to network and develop additional business. ESSENTIAL DUTIES AND RESPONSIBILITIES: Maintain ongoing understanding of FINRA rules and regulations; BSA & AML. Assist with the development of WSI's (WesBanco Securities Inc.) risk and compliance management practices and programs. Ability to disseminate written policies and procedures related to compliance activity. Provide compliance guidance to licensed advisors and licensed bankers and support staff. Assist to resolve complaints. Review new accounts for suitability and best interest and day-to-day broker activity. Assist in review and implementation of WSI's compliance program to ensure effectiveness. Assist with testing of procedures and creation of new procedures with changing regulatory needs. Assist in licensing and FINRA Regulatory & Firm Element and insurance continuing education for all licensed individuals. Assist with internal and external audits. Assist with the formulation/taking correction actions when necessary to respond unexpected compliance events. Review communications of advisors. Assist with compliance review of all marketing/sales material. Assist with various communication and training as needed with staff and registered representatives. Assist with branch reviews. Preparation of various reports. Electronic communication review. Other duties may be assigned. OTHER REQUIREMENTS: Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank's policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner. Ability to administer various filings on the CRD System. In-depth knowledge of a broad range of securities and insurance products. In-depth knowledge of FINRA rules and regulations and Securities and Risk Management principles. In-depth knowledge of current economic and market conditions and legislation. In-depth knowledge of criteria for determining suitability of proposed purchase of securities/insurance products for each individual client's needs. In-depth knowledge of legal principles of client's capacity/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client's behalf. Solid computer skills in Microsoft Office Suite. Full-Time/Part-Time Full-time Area of Interest Risk Management All Locations Uniontown, Ohio, United StatesAnn Arbor, Michigan, United StatesWheeling, West Virginia, United StatesCincinnati, Ohio, United StatesToledo, Ohio, United StatesCleveland, Ohio, United StatesDefiance, Ohio, United StatesFairmont, West Virginia, United StatesFindlay, Ohio, United StatesFrankfort, Kentucky, United StatesFort Wayne, Indiana, United StatesParkersburg, West Virginia, United StatesColumbus, Ohio, United StatesHuntington, West Virginia, United StatesCarmel, Indiana, United StatesIronton, Ohio, United StatesPittsburgh, Pennsylvania, United StatesSissonville, West Virginia, United StatesNew Albany, Indiana, United StatesYoungstown, Ohio, United States Show more

Back Compliance Officer - Brokerage - Securities Admin #52-8605 Bowie, Maryland, United States Apply X Facebook LinkedIn Email Copy Location This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be Bowie, MD. Market Charleston Work Hours per Week 37.5 Requirements Associates Degree in Business, Finance, Accounting or related degree preferred. Minimum of three years of experience in the securities industry. Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor. Series 7 Series 63 & 65 or 66 Series 24 or Series 9/10 - Must be obtained within 90 days of start date. State Insurance licensed Job Description SUMMARY: Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations. Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In addition, expected to make recommendations to management for closing gaps identified during the reviews. The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required. CUSTOMER SERVICE SKILLS: Willingness to provide a level of service which will clearly differentiate us from our competitors. INTERPERSONAL SKILLS: Professional demeanor in appearance, interpersonal relations, work ethic and attitude. Possess clear, concise, effective written and oral communication skills to effectively express thoughts, ideas and concepts to management, bank employees and bank customers in a collaborative and solutions oriented manner. Ability to exercise independent sound, judgment and discretion and understand when assistance is needed. Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors. Strong interpersonal and communication (written and verbal) skills. Ability to evaluate and analyze products and services, and vendors. Represents the Company in civic, community and industry functions to network and develop additional business. ESSENTIAL DUTIES AND RESPONSIBILITIES: Maintain ongoing understanding of FINRA rules and regulations; BSA & AML. Assist with the development of WSI's (WesBanco Securities Inc.) risk and compliance management practices and programs. Ability to disseminate written policies and procedures related to compliance activity. Provide compliance guidance to licensed advisors and licensed bankers and support staff. Assist to resolve complaints. Review new accounts for suitability and best interest and day-to-day broker activity. Assist in review and implementation of WSI's compliance program to ensure effectiveness. Assist with testing of procedures and creation of new procedures with changing regulatory needs. Assist in licensing and FINRA Regulatory & Firm Element and insurance continuing education for all licensed individuals. Assist with internal and external audits. Assist with the formulation/taking correction actions when necessary to respond unexpected compliance events. Review communications of advisors. Assist with compliance review of all marketing/sales material. Assist with various communication and training as needed with staff and registered representatives. Assist with branch reviews. Preparation of various reports. Electronic communication review. Other duties may be assigned. OTHER REQUIREMENTS: Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank's policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner. Ability to administer various filings on the CRD System. In-depth knowledge of a broad range of securities and insurance products. In-depth knowledge of FINRA rules and regulations and Securities and Risk Management principles. In-depth knowledge of current economic and market conditions and legislation. In-depth knowledge of criteria for determining suitability of proposed purchase of securities/insurance products for each individual client's needs. In-depth knowledge of legal principles of client's capacity/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client's behalf. Solid computer skills in Microsoft Office Suite. ADDITIONAL INFORMATION: The wage range for the Compliance Officer - Brokerage position is $70,000-$73,000 annually. The position includes 22 PTO Days (Paid Time Off), 5 STD Days (Short Term Disability), 11 annual paid holidays and 1 float holiday. WesBanco has an excellent benefits package to include medical, dental, and vision, Health Care Flexible Spending, Dependent Care Flexible Spending, Transportation Fringe Benefit Plan, Group Life, Long Term Disability, Optional Life, access to voluntary benefit products such as Cancer, Term & Universal Life, Accident, Short-Term Disability and Critical Illness policies, and other ancillary benefit products. WesBanco also offers 401(k) with employee match. Full-Time/Part-Time Full-time Area of Interest Risk Management All Locations Bowie, Maryland, United States

Primary Office Location:100 Federal Street. Pittsburgh, Pennsylvania. 15212.Join our team. Make a difference - for us and for your future. Experience with FDPA is required. Compliance Specialist - Operations Business Unit: Operations Reports to: Varies Based on Assignment Position Overview: This position is primarily responsible for helping to ensure that the corporation and its subsidiaries comply with regulatory requirements and applicable policies and procedures governing business practices related to Loan, Deposit and ProcessingOperations. The incumbent collaborates with other members of the Operations Departments and the Compliance Department staff in the identification, measurement and monitoring of compliance risks within the department. Primary Responsibilities: Performs ongoing data integrity validation and correction activities in high-risk areas, documents findings and reports them to management in a timely manner. Documents and maintains assessment methodology and supports external and internal examinations as assigned. Develops and implements assessment processes and prepares periodic monitoring reports. Documents departmental workflows and recommends solutions to improve quality and reduce costs, identifies problems, diagnoses causes and determines corrective actions. Maintains knowledge of applicable laws and regulations that influence operations processes, procedures and system functionality. Performs other related duties and projects as assigned. All employees have the responsibility and the accountability to serve as risk managers for their businesses by understanding, reporting, responding to, managing and monitoring the risk they encounter daily as required by F.N.B. Corporation's risk management program. F.N.B. Corporation is committed to achieving superior levels of compliance by adhering to regulatory laws and guidelines. Compliance with regulatory laws and company procedures is a required component of all position descriptions. Minimum Level of Education Required to Perform the Primary Responsibilities of this Position: BA or BS Minimum # of Years of Job Related Experience Required to Perform the Primary Responsibilities of this Position: 3 Skills Required to Perform the Primary Responsibilities of this Position: Excellent communication skills, both written and verbal Excellent organizational, analytical and interpersonal skills Detail-oriented Ability to use general office equipment Ability to use a personal computer and job-related software MS Word - Intermediate Level MS Excel - Intermediate Level Prior experience conducting assessments or comparable production experience. Familiar with lending activities and applicable regulatory requirements. Licensures/Certifications Required to Perform the Primary Responsibilities of this Position: N/A Physical Requirements or Work Conditions Beyond Traditional Office Work: N/A Equal Employment Opportunity (EEO): It is the policy of F.N.B. Corporation (FNB) and its affiliates not to discriminate against any employee or applicant for employment because of age, race, color, religion, sex, national origin, disability, veteran status or any other category protected by law. It is also the policy of FNB and its affiliates to employ and advance in employment all persons regardless of their status as individuals with disabilities or veterans, and to base all employment decisions only on valid job requirements. FNB provides all applicants and employees a discrimination and harassment free workplace.

About Us Capital Bank N.A. is headquartered in Maryland and has been serving our communities since 1999. We stand as a publicly traded company (NASDAQ: CBNK) with over $3 billion in assets. We offer commercial and consumer banking services to clients primarily in Maryland, DC, and Northern Virginia, alongside two nation-wide lending brands; Capital Bank Home Loans and OpenSky, a credit card division that offers and services credit cards across all states. Our personalized approach to banking, paired with cutting-edge technology solutions and a comprehensive suite of products and services, fuels our growth, and enables us to support our customers at every stage in their financial journey. Come join a bank where our employees thrive and are engaged in meaningful work. For the last 5 out of 6 years, Capital Bank was named one of the "Best Banks to Work For" in the U.S. by American Banker. Position Purpose The Loan Operations Data & Compliance Analyst plays a vital role in ensuring the accuracy, completeness, and timely submission of all regulatory loan data and related reporting. This position is responsible for managing requirements associated with the Home Mortgage Disclosure Act (HMDA), Community Reinvestment Act (CRA), Federal Home Loan Bank (FHLBank), and other federal or investor coding standards. This role manages data validation, reconciliation, and reporting activities to guarantee that regulatory submissions are both accurate and timely, supporting the Bank's compliance with requirements set forth by the CFPB, OCC, and FFIEC. This position also supports the Bank's FHLBank of Atlanta collateral reporting process by maintaining accurate pledged loan data and preparing quarterly QCR submissions, ensuring investor reporting is accurate and timely. Serving as a key liaison, this role bridges Loan Operations, Compliance, and other departments to maintain data integrity and regulatory preparedness throughout the loan lifecycle. Position Responsibilities Oversee the HMDA, CRA, and community development lending data processes within Loan Operations, managing the workflow from origination through to submission. Oversee the collection, validation, and reporting of HMDA and CRA data within loan origination and core systems. Maintain compliance with FHLBank data reporting requirements, including the preparation and submission of quarterly QCR reports and related audit materials. Ensure the accurate regulatory coding of all loans-including details such as purpose, collateral, property type, lien status, and geography-to align with federal and state guidelines. Conduct data integrity reviews, perform field mapping, and execute edit check testing across core systems, loan origination systems (LOS), and data warehouses. Maintain accurate geocoding, tract, and MSA data for all loan records. Support the timely and accurate submission of quarterly and annual HMDA and Loan Application Registers (LARs), and community development lending. Coordinate with Treasury and Finance to prepare and submit Quarterly Collateral Reports (QCRs) to FHLBank of Atlanta. Validate pledge loan balances, collateral eligibility, and loan-level data integrity prior to submission. Maintain internal QCR reconciliation files between the core system and FHLB reporting templates. Identify and resolve discrepancies in loan eligibility, lien status, or collateral coding. Partner with internal teams to ensure pledged loan data aligns with FHLBank guidelines and collateral agreements. Develop and maintain internal dashboards and exception reports to monitor data quality and submission readiness. Collaborate with Compliance to interpret new or updated regulatory requirements and implement the necessary operational or system changes. Work closely with Loan Operations, Loan Servicing, and Commercial Lending teams to monitor data quality, resolve discrepancies, and support accurate regulatory reporting. Lead or assist with regular data audits, including pre-submission validation, post-submission reviews, and exam preparation activities. Develop and maintain procedures, workflows, and controls that promote consistency in data capture and reporting processes. Support the implementation and testing of system enhancements that impact HMDA, CRA, and other regulatory data fields. Produce monthly and quarterly management reports that summarize data integrity, identify exceptions, and highlight trends. Identify and recommend improvements to systems or processes to enhance data accuracy and automation. Partner with Compliance to ensure that policies, procedures, and training materials reflect current regulatory expectations. Coordinate with Compliance to conduct training risk appropriate HMDA and CRA training workshops with relationship managers and loan officers. Conduct training for fellow Loan Operations teammates to increase knowledge within the organization. Participate in audit and examination preparation, ensuring complete documentation of all data collection and validation practices. Act as a subject matter expert for federal loan coding requirements across all lending business lines. Required Education and Experience Bachelor's degree in Business, Finance, or a related field; equivalent work experience may be considered. Minimum five years of experience in Loan Operations, Loan Compliance, or Regulatory Reporting. Comprehensive understanding of HMDA, CRA, and other federal lending regulations. Demonstrated working knowledge of FFIEC filing requirements. Experience with FHLBank collateral reporting or loan pledge processes preferred. Proficiency in loan origination systems and data reporting tools; Fiserv Premier, Finastra products (LaserPro, Compliance Reporter), and/or Sageworks Abrigo strongly preferred. Strong analytical skills and meticulous attention to detail, with a proven ability to identify and correct data anomalies. Ability to define and document procedures effectively. Excellent communication and collaboration skills, with demonstrated capability to work effectively across Operations, Compliance, and IT teams. Intermediate to advanced proficiency in Excel and/or data analytics software. Qualifications and Skills Regulatory and Analytical Expertise Data Integrity and Quality Control Cross-Department Collaboration Process Documentation and Audit Readiness Continuous Improvement Mindset Key Performance Indicators Timeliness and accuracy of HMDA and CRA quarterly and annual submissions. Accurate identification of CRA (small business) and qualified community development loans. Ensure ongoing accuracy and completeness of HMDA/CRA Loan Application Registers (LARs) by conducting quarterly reviews of quality and validity edit checks, with documented validation results and corrective actions implemented within 30 days of issue identification. Accuracy and timeliness of FHLBank QCR submissions and collateral data reconciliations. Reduction in edit check exceptions and resubmission rates. Quality and completeness of documentation. Effective collaboration with Compliance and Operations leadership. Compensation Base Salary Range: $44.10 - $66.16 hourly (Rockville, MD salary range). Final determination of where you are at in the salary range is based on numerous factors such as geographic location, relevant experience, skill set, education, and ability to meet qualifications within the job description. We are hiring in: MD, DC, VA, PA, DE, NC, SC, FL, IN, IL. Candidates in other locations will receive the pay range tied to their specific area. Additional Compensation: This role will include a yearly annual target bonus based on individual performance. Working Arrangements This opportunity offers the flexibility to work in a hybrid working environment within our Rockville, MD office. Open to considering candidates outside of the local area dependent on ability to meet all qualifications. Why Join Us? Join a growing company with a culture that fosters an entrepreneurial spirit Comprehensive benefits package including Medical, Dental, Vision, Company Paid Life Insurance, Disability Insurance, and more! Company Contributions to your 401k - Regardless of your contribution Employee Perks: Employee Recognition Program, Commuter Benefits, Employee Banking Discounts and much more! Generous Paid Time Off and Paid Holidays. Supporting Businesses. Helping People. Strengthening Communities. Capital Bank, N.A. is an Affirmative Action, E-Verify, and Equal Opportunity Employer. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Assist the Consumer Compliance Officer in overseeing the development, enhancement and monitoring of a sound consumer compliance program throughout the bank. ESSENTIAL DUTIES AND RESPONSIBILITIES: Review advertising, promotional materials and customer communications for proper disclosures, demonstrating knowledge of deposit and loan compliance regulations. Review Bank website changes, new pages / content for proper disclosures in accordance with regulatory requirements. Coordinate updates to customer-facing materials related to material process changes as needed. Review first line compliance self-testing and/or checklists, monitor for exceptions, and escalate concerns to supervisor as needed. Assist in quarterly compliance monitoring activities as needed. Assist in ongoing compliance monitoring for high risk and customer-facing third party vendors. Assist in testing for compliance control environment reviews and other assignments within time allowed. Follow-up on issues found to test for proper remediation; update issue tracking system accordingly. Collaborate with management and other departments to ensure policies and procedures are efficiently and effectively implemented. Perform research and provide compliance insights to business partners on an ad hoc basis. Review and update bank forms and disclosures for compliance with applicable laws and regulations as needed. Assist with merger & acquisition-related testing and monitoring. Keep the Consumer Compliance Officer informed on the progress of assignments. Collaborate with Internal Audit and Credit Risk Review teams, as needed. Keep abreast of regulatory and industry developments relative to compliance matters. Assist Consumer Compliance Officer in tracking and disseminating compliance information and regulatory changes to management and staff, including drafting the quarterly Risk Newsletter. Follow up on assigned regulatory change management cases and ensure compliance by required dates. Assist in maintenance and reporting of regulatory change management module within GRC tool. Assist in development of compliance training programs for new or changed regulations as needed. Assist in regulatory examination preparation, including document gathering, tracking, and research. Keep abreast of regulatory and industry developments relative to compliance matters. Maintain compliance-related procedures relative to ongoing vendor oversight, regulatory change management, and marketing compliance. Assist in other departmental risk assessment efforts. EDUCATION and/or EXPERIENCE: College degree or equivalent work experience required 3+ years experience in banking (mid-size bank experience preferred) 3+ years of regulatory compliance experience desirable Intermediate knowledge of federal and state banking laws, rules and regulations To perform this job successfully, an individual should have Intermediate proficiency in Microsoft Excel, Word, internet research, and database software. FIS IBS Insight, LogicManager GRC experience desirable. Professional compliance certification (e.g., CRCM, CAMS, CFE, CIA, etc.) desirable Working knowledge of compliance monitoring tools and techniques. The Statements above are intended to describe the general nature and level of work being performed by people assigned to this position. They are not intended to be an exhaustive list of responsibilities, duties, and skills. Because these statements are general, the job description is used for a variety of purposes including job evaluations; performance reviews; recruitment; etc. All Associates are required to adhere to the highest legal and ethical standards applicable to our industry. It is the policy of Seacoast Bank that all Associates will be familiar and compliant with all regulatory, legal, ethical and Bank risk mitigation requirements pertaining to both our industry and their individual roles. This includes the on time, successful completion of annual required training post-hire and effective execution of role responsibilities. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Assist the Consumer Compliance Officer in overseeing the development, enhancement and monitoring of a sound consumer compliance program throughout the bank. ESSENTIAL DUTIES AND RESPONSIBILITIES: Review advertising, promotional materials and customer communications for proper disclosures, demonstrating knowledge of deposit and loan compliance regulations. Review Bank website changes, new pages / content for proper disclosures in accordance with regulatory requirements. Coordinate updates to customer-facing materials related to material process changes as needed. Review first line compliance self-testing and/or checklists, monitor for exceptions, and escalate concerns to supervisor as needed. Assist in quarterly compliance monitoring activities as needed. Assist in ongoing compliance monitoring for high risk and customer-facing third party vendors. Assist in testing for compliance control environment reviews and other assignments within time allowed. Follow-up on issues found to test for proper remediation; update issue tracking system accordingly. Collaborate with management and other departments to ensure policies and procedures are efficiently and effectively implemented. Perform research and provide compliance insights to business partners on an ad hoc basis. Review and update bank forms and disclosures for compliance with applicable laws and regulations as needed. Assist with merger & acquisition-related testing and monitoring. Keep the Consumer Compliance Officer informed on the progress of assignments. Collaborate with Internal Audit and Credit Risk Review teams, as needed. Keep abreast of regulatory and industry developments relative to compliance matters. Assist Consumer Compliance Officer in tracking and disseminating compliance information and regulatory changes to management and staff, including drafting the quarterly Risk Newsletter. Follow up on assigned regulatory change management cases and ensure compliance by required dates. Assist in maintenance and reporting of regulatory change management module within GRC tool. Assist in development of compliance training programs for new or changed regulations as needed. Assist in regulatory examination preparation, including document gathering, tracking, and research. Keep abreast of regulatory and industry developments relative to compliance matters. Maintain compliance-related procedures relative to ongoing vendor oversight, regulatory change management, and marketing compliance. Assist in other departmental risk assessment efforts. EDUCATION and/or EXPERIENCE: College degree or equivalent work experience required 3+ years experience in banking (mid-size bank experience preferred) 3+ years of regulatory compliance experience desirable Intermediate knowledge of federal and state banking laws, rules and regulations To perform this job successfully, an individual should have Intermediate proficiency in Microsoft Excel, Word, internet research, and database software. FIS IBS Insight, LogicManager GRC experience desirable. Professional compliance certification (e.g., CRCM, CAMS, CFE, CIA, etc.) desirable Working knowledge of compliance monitoring tools and techniques. The Statements above are intended to describe the general nature and level of work being performed by people assigned to this position. They are not intended to be an exhaustive list of responsibilities, duties, and skills. Because these statements are general, the job description is used for a variety of purposes including job evaluations; performance reviews; recruitment; etc. All Associates are required to adhere to the highest legal and ethical standards applicable to our industry. It is the policy of Seacoast Bank that all Associates will be familiar and compliant with all regulatory, legal, ethical and Bank risk mitigation requirements pertaining to both our industry and their individual roles. This includes the on time, successful completion of annual required training post-hire and effective execution of role responsibilities. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Assist the Consumer Compliance Officer in overseeing the development, enhancement and monitoring of a sound consumer compliance program throughout the bank. ESSENTIAL DUTIES AND RESPONSIBILITIES: Review advertising, promotional materials and customer communications for proper disclosures, demonstrating knowledge of deposit and loan compliance regulations. Review Bank website changes, new pages / content for proper disclosures in accordance with regulatory requirements. Coordinate updates to customer-facing materials related to material process changes as needed. Review first line compliance self-testing and/or checklists, monitor for exceptions, and escalate concerns to supervisor as needed. Assist in quarterly compliance monitoring activities as needed. Assist in ongoing compliance monitoring for high risk and customer-facing third party vendors. Assist in testing for compliance control environment reviews and other assignments within time allowed. Follow-up on issues found to test for proper remediation; update issue tracking system accordingly. Collaborate with management and other departments to ensure policies and procedures are efficiently and effectively implemented. Perform research and provide compliance insights to business partners on an ad hoc basis. Review and update bank forms and disclosures for compliance with applicable laws and regulations as needed. Assist with merger & acquisition-related testing and monitoring. Keep the Consumer Compliance Officer informed on the progress of assignments. Collaborate with Internal Audit and Credit Risk Review teams, as needed. Keep abreast of regulatory and industry developments relative to compliance matters. Assist Consumer Compliance Officer in tracking and disseminating compliance information and regulatory changes to management and staff, including drafting the quarterly Risk Newsletter. Follow up on assigned regulatory change management cases and ensure compliance by required dates. Assist in maintenance and reporting of regulatory change management module within GRC tool. Assist in development of compliance training programs for new or changed regulations as needed. Assist in regulatory examination preparation, including document gathering, tracking, and research. Keep abreast of regulatory and industry developments relative to compliance matters. Maintain compliance-related procedures relative to ongoing vendor oversight, regulatory change management, and marketing compliance. Assist in other departmental risk assessment efforts. EDUCATION and/or EXPERIENCE: College degree or equivalent work experience required 3+ years experience in banking (mid-size bank experience preferred) 3+ years of regulatory compliance experience desirable Intermediate knowledge of federal and state banking laws, rules and regulations To perform this job successfully, an individual should have Intermediate proficiency in Microsoft Excel, Word, internet research, and database software. FIS IBS Insight, LogicManager GRC experience desirable. Professional compliance certification (e.g., CRCM, CAMS, CFE, CIA, etc.) desirable Working knowledge of compliance monitoring tools and techniques. The Statements above are intended to describe the general nature and level of work being performed by people assigned to this position. They are not intended to be an exhaustive list of responsibilities, duties, and skills. Because these statements are general, the job description is used for a variety of purposes including job evaluations; performance reviews; recruitment; etc. All Associates are required to adhere to the highest legal and ethical standards applicable to our industry. It is the policy of Seacoast Bank that all Associates will be familiar and compliant with all regulatory, legal, ethical and Bank risk mitigation requirements pertaining to both our industry and their individual roles. This includes the on time, successful completion of annual required training post-hire and effective execution of role responsibilities. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Assist the Consumer Compliance Officer in overseeing the development, enhancement and monitoring of a sound consumer compliance program throughout the bank. ESSENTIAL DUTIES AND RESPONSIBILITIES: Review advertising, promotional materials and customer communications for proper disclosures, demonstrating knowledge of deposit and loan compliance regulations. Review Bank website changes, new pages / content for proper disclosures in accordance with regulatory requirements. Coordinate updates to customer-facing materials related to material process changes as needed. Review first line compliance self-testing and/or checklists, monitor for exceptions, and escalate concerns to supervisor as needed. Assist in quarterly compliance monitoring activities as needed. Assist in ongoing compliance monitoring for high risk and customer-facing third party vendors. Assist in testing for compliance control environment reviews and other assignments within time allowed. Follow-up on issues found to test for proper remediation; update issue tracking system accordingly. Collaborate with management and other departments to ensure policies and procedures are efficiently and effectively implemented. Perform research and provide compliance insights to business partners on an ad hoc basis. Review and update bank forms and disclosures for compliance with applicable laws and regulations as needed. Assist with merger & acquisition-related testing and monitoring. Keep the Consumer Compliance Officer informed on the progress of assignments. Collaborate with Internal Audit and Credit Risk Review teams, as needed. Keep abreast of regulatory and industry developments relative to compliance matters. Assist Consumer Compliance Officer in tracking and disseminating compliance information and regulatory changes to management and staff, including drafting the quarterly Risk Newsletter. Follow up on assigned regulatory change management cases and ensure compliance by required dates. Assist in maintenance and reporting of regulatory change management module within GRC tool. Assist in development of compliance training programs for new or changed regulations as needed. Assist in regulatory examination preparation, including document gathering, tracking, and research. Keep abreast of regulatory and industry developments relative to compliance matters. Maintain compliance-related procedures relative to ongoing vendor oversight, regulatory change management, and marketing compliance. Assist in other departmental risk assessment efforts. EDUCATION and/or EXPERIENCE: College degree or equivalent work experience required 3+ years experience in banking (mid-size bank experience preferred) 3+ years of regulatory compliance experience desirable Intermediate knowledge of federal and state banking laws, rules and regulations To perform this job successfully, an individual should have Intermediate proficiency in Microsoft Excel, Word, internet research, and database software. FIS IBS Insight, LogicManager GRC experience desirable. Professional compliance certification (e.g., CRCM, CAMS, CFE, CIA, etc.) desirable Working knowledge of compliance monitoring tools and techniques. The Statements above are intended to describe the general nature and level of work being performed by people assigned to this position. They are not intended to be an exhaustive list of responsibilities, duties, and skills. Because these statements are general, the job description is used for a variety of purposes including job evaluations; performance reviews; recruitment; etc. All Associates are required to adhere to the highest legal and ethical standards applicable to our industry. It is the policy of Seacoast Bank that all Associates will be familiar and compliant with all regulatory, legal, ethical and Bank risk mitigation requirements pertaining to both our industry and their individual roles. This includes the on time, successful completion of annual required training post-hire and effective execution of role responsibilities. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Assist the Consumer Compliance Officer in overseeing the development, enhancement and monitoring of a sound consumer compliance program throughout the bank. ESSENTIAL DUTIES AND RESPONSIBILITIES: Review advertising, promotional materials and customer communications for proper disclosures, demonstrating knowledge of deposit and loan compliance regulations. Review Bank website changes, new pages / content for proper disclosures in accordance with regulatory requirements. Coordinate updates to customer-facing materials related to material process changes as needed. Review first line compliance self-testing and/or checklists, monitor for exceptions, and escalate concerns to supervisor as needed. Assist in quarterly compliance monitoring activities as needed. Assist in ongoing compliance monitoring for high risk and customer-facing third party vendors. Assist in testing for compliance control environment reviews and other assignments within time allowed. Follow-up on issues found to test for proper remediation; update issue tracking system accordingly. Collaborate with management and other departments to ensure policies and procedures are efficiently and effectively implemented. Perform research and provide compliance insights to business partners on an ad hoc basis. Review and update bank forms and disclosures for compliance with applicable laws and regulations as needed. Assist with merger & acquisition-related testing and monitoring. Keep the Consumer Compliance Officer informed on the progress of assignments. Collaborate with Internal Audit and Credit Risk Review teams, as needed. Keep abreast of regulatory and industry developments relative to compliance matters. Assist Consumer Compliance Officer in tracking and disseminating compliance information and regulatory changes to management and staff, including drafting the quarterly Risk Newsletter. Follow up on assigned regulatory change management cases and ensure compliance by required dates. Assist in maintenance and reporting of regulatory change management module within GRC tool. Assist in development of compliance training programs for new or changed regulations as needed. Assist in regulatory examination preparation, including document gathering, tracking, and research. Keep abreast of regulatory and industry developments relative to compliance matters. Maintain compliance-related procedures relative to ongoing vendor oversight, regulatory change management, and marketing compliance. Assist in other departmental risk assessment efforts. EDUCATION and/or EXPERIENCE: College degree or equivalent work experience required 3+ years experience in banking (mid-size bank experience preferred) 3+ years of regulatory compliance experience desirable Intermediate knowledge of federal and state banking laws, rules and regulations To perform this job successfully, an individual should have Intermediate proficiency in Microsoft Excel, Word, internet research, and database software. FIS IBS Insight, LogicManager GRC experience desirable. Professional compliance certification (e.g., CRCM, CAMS, CFE, CIA, etc.) desirable Working knowledge of compliance monitoring tools and techniques. The Statements above are intended to describe the general nature and level of work being performed by people assigned to this position. They are not intended to be an exhaustive list of responsibilities, duties, and skills. Because these statements are general, the job description is used for a variety of purposes including job evaluations; performance reviews; recruitment; etc. All Associates are required to adhere to the highest legal and ethical standards applicable to our industry. It is the policy of Seacoast Bank that all Associates will be familiar and compliant with all regulatory, legal, ethical and Bank risk mitigation requirements pertaining to both our industry and their individual roles. This includes the on time, successful completion of annual required training post-hire and effective execution of role responsibilities. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Assist the Consumer Compliance Officer in overseeing the development, enhancement and monitoring of a sound consumer compliance program throughout the bank. ESSENTIAL DUTIES AND RESPONSIBILITIES: Review advertising, promotional materials and customer communications for proper disclosures, demonstrating knowledge of deposit and loan compliance regulations. Review Bank website changes, new pages / content for proper disclosures in accordance with regulatory requirements. Coordinate updates to customer-facing materials related to material process changes as needed. Review first line compliance self-testing and/or checklists, monitor for exceptions, and escalate concerns to supervisor as needed. Assist in quarterly compliance monitoring activities as needed. Assist in ongoing compliance monitoring for high risk and customer-facing third party vendors. Assist in testing for compliance control environment reviews and other assignments within time allowed. Follow-up on issues found to test for proper remediation; update issue tracking system accordingly. Collaborate with management and other departments to ensure policies and procedures are efficiently and effectively implemented. Perform research and provide compliance insights to business partners on an ad hoc basis. Review and update bank forms and disclosures for compliance with applicable laws and regulations as needed. Assist with merger & acquisition-related testing and monitoring. Keep the Consumer Compliance Officer informed on the progress of assignments. Collaborate with Internal Audit and Credit Risk Review teams, as needed. Keep abreast of regulatory and industry developments relative to compliance matters. Assist Consumer Compliance Officer in tracking and disseminating compliance information and regulatory changes to management and staff, including drafting the quarterly Risk Newsletter. Follow up on assigned regulatory change management cases and ensure compliance by required dates. Assist in maintenance and reporting of regulatory change management module within GRC tool. Assist in development of compliance training programs for new or changed regulations as needed. Assist in regulatory examination preparation, including document gathering, tracking, and research. Keep abreast of regulatory and industry developments relative to compliance matters. Maintain compliance-related procedures relative to ongoing vendor oversight, regulatory change management, and marketing compliance. Assist in other departmental risk assessment efforts. EDUCATION and/or EXPERIENCE: College degree or equivalent work experience required 3+ years experience in banking (mid-size bank experience preferred) 3+ years of regulatory compliance experience desirable Intermediate knowledge of federal and state banking laws, rules and regulations To perform this job successfully, an individual should have Intermediate proficiency in Microsoft Excel, Word, internet research, and database software. FIS IBS Insight, LogicManager GRC experience desirable. Professional compliance certification (e.g., CRCM, CAMS, CFE, CIA, etc.) desirable Working knowledge of compliance monitoring tools and techniques. The Statements above are intended to describe the general nature and level of work being performed by people assigned to this position. They are not intended to be an exhaustive list of responsibilities, duties, and skills. Because these statements are general, the job description is used for a variety of purposes including job evaluations; performance reviews; recruitment; etc. All Associates are required to adhere to the highest legal and ethical standards applicable to our industry. It is the policy of Seacoast Bank that all Associates will be familiar and compliant with all regulatory, legal, ethical and Bank risk mitigation requirements pertaining to both our industry and their individual roles. This includes the on time, successful completion of annual required training post-hire and effective execution of role responsibilities. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Basic Duties and Responsibilities Assist with interpreting and maintaining compliance with applicable Environmental Protection Agency (EPA) and Texas Commission on Environmental Quality (TCEQ) rules and regulations. Assist in interpreting and maintaining compliance with facility air quality permits/authorizations (NSR, Title V, PBR) and regulations including, but not limited to: NSPS, NESHAP and Reg V. Ensure the preparation, accuracy and submittal of state and federal reports, including but not limited to: semi-annual deviation reports, monthly/annual air emission reports, discharge monitoring reports (DMRs), TIER II, etc. Assist in incident/spill response notification and reporting. Assist and ensure compliance with applicable TCEQ and EPA water quality permits and applicable regulations. Assist in managing and ensuring compliance with RMP requirements. Manage and ensure compliance with SPCC requirements. Assist in developing, implementing and ensuring compliance with environmental regulatory procedures, processes and practices. Interface with federal, state, county, and city representatives during site inspections. Provide technical assistance and guidance to the facilities. Develop, assist and conduct training and education programs for environmental compliance. Actively participate as a member of the Incident Command (IC) system. Maintain professional certifications, as applicable, by attending various training, seminars and classes. Assist with internal and external SHES and Regulatory Compliance Audits. Participate in various internal and external meetings and committees as appropriate. Interface directly with the Environmental Systems Supervisor and Terminal Management. Assist in the maintenance of environmentally related plans, licenses, permits and certifications. Assist in other areas as necessary, which may include TRRP, Waste Management, and others. Skills and Qualifications Bachelor's Degree from accredited college or university. Two years related experience and foundational knowledge in environmental regulations. Good verbal and written communications skills. Emissions calculations experience a plus. Excellent problem-solving abilities.