Compliance Auditor jobs at Starion Financial

As an Audit Experienced Associate, you'll apply your knowledge of GAAP to assist in all stages of an audit, as well as train and supervise new associates during an engagement - all with the resources, environment and support to help you excel. You'll build relationships with your clients and your engagement team, and use our world-class audit technology to work collaboratively, solve smarter, and enhance client service. From day one, you'll be empowered with access to firm leaders and mentors, training programs, resource groups, team-based communities, and growth opportunities to help you develop your career and achieve more, confidently. Your day-to-day may include: Auditing transaction cycles, including cash, purchasing, investments, capital expenditures, and other income and expenses Learning about client operations, processes, and business objectives, and applying the knowledge to enhance the audit Working with the team to design audit procedures using audit technology and innovation tools. Researching accounting & auditing matters and documenting conclusions. Listening and communicating clearly with clients to establish engagement expectations while building long-term relationships Working at a client site, with your team in the office or remotely. We empower teams to listen first to expectations of clients and teammates; then you and your team can determine when and where to work. No matter when or where, you will have the support you need to thrive Representing Grant Thornton at recruiting and professional networking events Building your technical and professional skills through formal training Other duties as assigned You have the following technical skills, qualifications and abilities: Bachelor's degree in accounting, economics, finance, mathematics, or related disciplines Minimum of one year of public accounting experience in a mid-sized to large firm Meeting education requirement for CPA certification in the state where you are applying for employment Analytical, technical, and auditing skills, including proficiency in US GAAP, GAAS, and PCAOB rules and standards Can manage multiple engagements and competing priorities Value teamwork, are agile and know the power of building strong relationships Can travel as needed (Travel expectation: up to 25%) Excellent verbal and written communication skills

About the Role: The Corporate Compliance Analyst will provide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm's five business lines, Compliance, and the firm's corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You'll Make: * Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. * Oversee various continuing education programs to ensure regulatory requirements are met. * Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. * Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. * Ensure associate responsibilities are completed and documented in accordance with the firm's policies. * Review, edit and draft policies, procedures and communications. * Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You'll Bring to Baird: * 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. * Bachelor's degree or equivalent of education and work experience. * Strong organizational, critical thinking and problem-solving skills. * Applies analytical skills and knowledge of the associate experience to complete reviews. * High degree of curiosity and attention to detail. * Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. * Strong verbal and written communication skills. * Ability to work independently and manage multiple priorities simultaneously. * Proficient with technology including Microsoft Office products (especially Word and Excel). * Experience with compliance software and tools is preferred. * SIE qualification exam, or recommended to obtain within two years. * Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

About the Role: The Corporate Compliance Analyst will provide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm's five business lines, Compliance, and the firm's corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You'll Make: Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. Oversee various continuing education programs to ensure regulatory requirements are met. Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. Ensure associate responsibilities are completed and documented in accordance with the firm's policies. Review, edit and draft policies, procedures and communications. Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You'll Bring to Baird: 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. Bachelor's degree or equivalent of education and work experience. Strong organizational, critical thinking and problem-solving skills. Applies analytical skills and knowledge of the associate experience to complete reviews. High degree of curiosity and attention to detail. Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. Strong verbal and written communication skills. Ability to work independently and manage multiple priorities simultaneously. Proficient with technology including Microsoft Office products (especially Word and Excel). Experience with compliance software and tools is preferred. SIE qualification exam, or recommended to obtain within two years. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

About the Role: The Corporate Compliance Analyst will provide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm's five business lines, Compliance, and the firm's corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You'll Make: Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. Oversee various continuing education programs to ensure regulatory requirements are met. Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. Ensure associate responsibilities are completed and documented in accordance with the firm's policies. Review, edit and draft policies, procedures and communications. Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You'll Bring to Baird: 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. Bachelor's degree or equivalent of education and work experience. Strong organizational, critical thinking and problem-solving skills. Applies analytical skills and knowledge of the associate experience to complete reviews. High degree of curiosity and attention to detail. Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. Strong verbal and written communication skills. Ability to work independently and manage multiple priorities simultaneously. Proficient with technology including Microsoft Office products (especially Word and Excel). Experience with compliance software and tools is preferred. SIE qualification exam, or recommended to obtain within two years. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

Every day, MTI Motion associates around the world set the future in motion by solving our customers' most vexing motion-control challenges. Serving various industries including commercial aerospace, defense, oil and gas, and transportation, MTI Motion designs and manufactures an innovative portfolio of custom, precision motion-control products and solutions, including high-performance motors, drives and controllers, as well as windings, gears and ball screws. We're committed to promoting a collaborative team environment that focuses on accountability, honesty and integrity to ensure customer satisfaction. We take pride in the work we perform and are committed to continuous improvement. In addition to offering a competitive benefits package, we strive to offer our employees opportunities to achieve career advancement. MTI Motion is a wholly owned operating company within the Steel Partners (NYSE: SPLP) family of companies and is headquartered in Pleasant Prairie, WI, with facilities worldwide. POSITION OVERVIEW The Compliance Manager provides overall technical direction for trade compliance (import and export), ensuring that the organization complies with global regulatory requirements. The Compliance Manager may also assist with supplier non-disclosure agreements and customer or vendor contracts. This individual will collaborate cross functionally to drive compliant business outcomes. ESSENTIAL JOB FUNCTIONS * Manage and continually improve the export and import compliance programs, including managing brokers/freight forwarders. * Ensuring compliance with export and import regulations: * Assist with implementation of policies and procedures to ensure company compliance with U.S. import and export control laws and regulations (EAR/ITAR). * Draft and submit export licenses, Commodity Jurisdiction and Classification requests and ensure proper documentation and record-keeping. * Assist with investigations, audits and Export Control Assessments, root cause analysis on deficiencies, and develop corrective action plans. * Risk Assessments and Audits as needed. * Export Classifications and Documentation review. * Respond to customer compliance requests. * Develop, manage and continually improve government regulation compliance, including but not limited to, ensuring compliance with government contract flow downs: * Assist with investigations and audits of FAR/DFARS regulations applicable to MTI contracts. * Manage cybersecurity compliance projects to bring MTI in line with CMMC regulations; and * Develop strategy to ensure MTI remains compliant with, and anticipate changes to, applicable FAR/DFARS/CAS regulations. * Establish and maintain any additional required compliance programs and policies, including Anti-corruption, Privacy and Confidential Data Management, etc. * Perform supplier, customer and other required third-party screening to ensure MTI maintains lawful business relationships as per US regulations. * Maintain MTI's annual Department of Defense Trade Controls registration, and any other required registrations. * Manage document retention and vendors in charge of document offsite storage. CANDIDATE REQUIREMENTS & PREFERRED EXPERIENCE * Bachelor's degree in Supply Chain Management, Business Administration, Legal or related field. Juris Doctorate Preferred. * 5 -7 years of prior work experience managing U.S. export and import compliance, including proficiency in control laws and regulations (EAR/ITAR/OFAC), ideally in the manufacturing industry. * 3 - 5 years of prior work experience drafting and submitting export licenses, Commodity Jurisdiction, and classification requests through SNAP-R and/or DECCS, and ensuring proper documentation and record-keeping, including tracking classifications within ERP system. * 1 - 3 years of prior work experience classifying items such as ECCN, HTS, Schedule B, from top level assemblies through component levels. * Superb data record management, organizational, and writing/proof-reading skills. * Proficient use of industry standard material compliance software. * Proficient use of Microsoft Word, Excel, and PowerPoint. * Candidate must be currently eligible to work on export-controlled projects. Please note: This is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice. EQUAL EMPLOYMENT OPPORTUNITY EMPLOYER MTI Motion is an equal employment opportunity (EEOC) employer such that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, age or other legally protected status. We will ensure individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact MTI Motion to request accommodation. DIVERSITY, EQUITY & INCLUSION At MTI Motion, we are dedicated to building a diverse, inclusive and authentic workplace. If you are excited about this role but your experience does not align perfectly with every qualification in the job description, we encourage you to apply anyway. You may be just the right candidate for this or another role.

First International Bank and Trust is a family-owned community bank and one of Prairie Business Magazine's 50 best places to work. Are you a detail-driven professional with a passion for regulatory compliance and risk management? First International Bank and Trust is seeking a Compliance Consultant to join our growing Compliance Department. As our bank continues to expand in size and complexity, this role is critical to ensuring we maintain strong regulatory readiness, reduce risk, and support our teams with expert guidance. This is a great opportunity for someone with extensive experience in consumer compliance who thrives in a collaborative environment and is ready to make an immediate impact. Key Responsibilities Support FIBT s compliance programs, including training, testing, and reporting. Review policies, procedures, and products to ensure alignment with federal and state regulations especially consumer protection laws. Advise business units on regulatory changes and assist with timely implementation. Coordinate with legal counsel and departments on new or revised products and services. Create and deliver training materials to staff affected by compliance issues. Serve as a subject matter expert during regulatory exams and internal audits. Stay current on evolving banking laws and regulations. Contribute to special projects and initiatives that enhance compliance and reduce risk. Qualifications: Bachelor s degree; a minimum of three to five years of compliance experience; or equivalent combination of education and experience. Industry certifications preferred (e.g., Certified Community Bank Compliance Officer, Certified Regulatory Compliance Manager). Strong knowledge of consumer protection laws and regulatory frameworks. First International Bank and Trust is a family-owned full-service Community Bank with locations in ND, MN, SD, and AZ. We show our employees we care by providing competitive benefits and training and growth opportunities. Here are the things we offer within our full-time benefits package: Health, Dental & Vision 401K Retirement Plan with Employer Match Paid Parental Leave Life and Disability Insurance Generous PTO and Holiday pay If you are interested in learning more, you can apply or if you have questions before applying you can reach out directly at **************************. Equal Opportunity Employer

First International Bank and Trust is a family-owned community bank and one of Prairie Business Magazine's 50 best places to work. Are you a detail-driven professional with a passion for regulatory compliance and risk management? First International Bank and Trust is seeking a Compliance Consultant to join our growing Compliance Department. As our bank continues to expand in size and complexity, this role is critical to ensuring we maintain strong regulatory readiness, reduce risk, and support our teams with expert guidance. This is a great opportunity for someone with extensive experience in consumer compliance who thrives in a collaborative environment and is ready to make an immediate impact. Key Responsibilities Support FIBT s compliance programs, including training, testing, and reporting. Review policies, procedures, and products to ensure alignment with federal and state regulations especially consumer protection laws. Advise business units on regulatory changes and assist with timely implementation. Coordinate with legal counsel and departments on new or revised products and services. Create and deliver training materials to staff affected by compliance issues. Serve as a subject matter expert during regulatory exams and internal audits. Stay current on evolving banking laws and regulations. Contribute to special projects and initiatives that enhance compliance and reduce risk. Qualifications: Bachelor s degree; a minimum of three to five years of compliance experience; or equivalent combination of education and experience. Industry certifications preferred (e.g., Certified Community Bank Compliance Officer, Certified Regulatory Compliance Manager). Strong knowledge of consumer protection laws and regulatory frameworks. First International Bank and Trust is a family-owned full-service Community Bank with locations in ND, MN, SD, and AZ. We show our employees we care by providing competitive benefits and training and growth opportunities. Here are the things we offer within our full-time benefits package: Health, Dental & Vision 401K Retirement Plan with Employer Match Paid Parental Leave Life and Disability Insurance Generous PTO and Holiday pay If you are interested in learning more, you can apply or if you have questions before applying you can reach out directly at **************************. Equal Opportunity Employer

Job Description First International Bank and Trust is a family-owned community bank and one of Prairie Business Magazine's 50 best places to work. Are you a detail-driven professional with a passion for regulatory compliance and risk management? First International Bank and Trust is seeking a Compliance Consultant to join our growing Compliance Department. As our bank continues to expand in size and complexity, this role is critical to ensuring we maintain strong regulatory readiness, reduce risk, and support our teams with expert guidance. This is a great opportunity for someone with extensive experience in consumer compliance who thrives in a collaborative environment and is ready to make an immediate impact. Key Responsibilities Support FIBT's compliance programs, including training, testing, and reporting. Review policies, procedures, and products to ensure alignment with federal and state regulations-especially consumer protection laws. Advise business units on regulatory changes and assist with timely implementation. Coordinate with legal counsel and departments on new or revised products and services. Create and deliver training materials to staff affected by compliance issues. Serve as a subject matter expert during regulatory exams and internal audits. Stay current on evolving banking laws and regulations. Contribute to special projects and initiatives that enhance compliance and reduce risk. Qualifications: Bachelor's degree; a minimum of three to five years of compliance experience; or equivalent combination of education and experience. Industry certifications preferred (e.g., Certified Community Bank Compliance Officer, Certified Regulatory Compliance Manager). Strong knowledge of consumer protection laws and regulatory frameworks. First International Bank and Trust is a family-owned full-service Community Bank with locations in ND, MN, SD, and AZ. We show our employees we care by providing competitive benefits and training and growth opportunities. Here are the things we offer within our full-time benefits package: Health, Dental & Vision 401K Retirement Plan with Employer Match Paid Parental Leave Life and Disability Insurance Generous PTO and Holiday pay If you are interested in learning more, you can apply or if you have questions before applying you can reach out directly at **************************. Equal Opportunity Employer

Job Description Assist the Compliance Officer in overseeing the bank's compliance management system in relation to deposit products and services. This includes monitoring, auditing, training and acting as a resource for business line managers to ensure compliance with state and federal regulations and the bank's policies and procedures. Hours: Monday - Friday 8:15am-5pm 38-40 hours/week *Hours may change at any time based on business needs Duties and Responsibilities: Conduct comprehensive compliance reviews and internal testing of deposit regulations including TISA, Reg E, Reg CC, etc. Test lending regulations including TRID, Flood, RESPA, etc. Prepare detailed reports of audit findings, presenting any irregularities or exceptions to the Compliance Officer for the final review before submission to the Business Line owners, Compliance Committee and Senior Management. Liaison with external auditors/examiners to provide needed documentation and assist with Participate in the Bank's internal deposit compliance training program. Act as resource to team members in regulatory deposit compliance areas. Collaborate effectively with business line team members to meet common goals and ensure compliance of the bank's deposit products and services. Non Essential Duties and Responsibilities: Assist with loan compliance audits as needed by CO and Loan Compliance Specialist. Lead or assist in projects as assigned to help implement deposit products and necessary regulatory changes within current products. Assist in training team members as needed in regulatory compliance areas. Any other duties as assigned. Requirements: High School Diploma or equivalent required Associate's degree (A. A.) or equivalent from two-year college or technical school; or one to three years related experience and/or training; or equivalent combination of education and experience required Ability to read, research, and interpret regulations Knowledge of State and Federal regulations in the deposits and lending areas Acts in accordance with the Bank's Service Excellence model Must comply with applicable laws and regulations, including but not limited to, the Bank Secrecy Act and the requirements of the Office of Foreign Assets Control. Additionally, all employees must follow policies and procedures to minimize risk by exercising good judgment, raising questions to management, and adhering to policy guidelines. Critical Competencies: Accountability Communication - Oral and Written Problem solving Accuracy Communication ****Equal Opportunity Employer of Minorities, Females, Protected Veterans, and Individuals with Disabilities**** Our company is an equal opportunity/affirmative action employer. Applicants can learn more about their rights by viewing the federal EEO poster at *********************************************************************************************

The Compliance Analyst supports the Bank's Compliance Management Program by performing second line of defense monitoring and testing activities under the direction of the VP, Compliance Officer, and Senior Compliance Analyst. This role helps ensure the Bank maintains compliance with applicable consumer and commercial banking regulations across deposit and lending products. The ideal candidate will have a strong desire to learn, be detail-oriented, and demonstrate initiative in a collaborative team environment. Key Responsibilities: * Perform compliance monitoring and testing in accordance with the Bank's compliance monitoring schedule. * Assist in identifying and assessing compliance risks within various business lines. * Document and communicate monitoring results, findings, and recommendations in a clear and professional manner. * Partner with business units to track and verify remediation of compliance issues. * Support the ongoing maintenance and enhancement of the Bank's Compliance Management System (CMS). * Stay informed of regulatory updates and assist with implementing changes as needed. * Participate in compliance-related projects, policy reviews, and staff training efforts. * Build positive working relationships across departments and maintain confidentiality of sensitive information. #INDBF Qualifications * Education: A bachelor's degree in Business Administration, Accounting, Finance, or a related field or equivalent experience preferred. * Experience: One to two years of experience in banking, financial services, or regulatory compliance required. * Knowledge: Basic understanding of consumer and commercial banking regulations preferred (e.g., Reg B, Reg Z, Reg E, Reg CC, CRA, FCRA, etc.). * Skills: High-level detail orientation, strong written and verbal communication skills, and a willingness to learn and take ownership of tasks. * Self-Discipline: Ability to work independently, manage multiple priorities, and meet deadlines.

The Compliance Specialist will be responsible for performing compliance testing and surveillance functions, as well as general compliance functions. The ideal candidate will have experience and general compliance knowledge, strong analytical, interpersonal and organizational skills to drive efficiencies in current processes. Location: Milwaukee, WI Responsibilities The candidate can expect to: * Provide analytical support to the compliance program by coordinating data extraction from various databases and systems * Interpret and analyze data trends, identify root cause(s), and provide information and reporting on the compliance program and emerging risks to senior compliance members * Review and investigate items of interest within the compliance trade surveillance platform (ACA ComplianceAlpha), escalating as necessary * Ensure timely and accurate data feeds into the trade surveillance platform * Complete annual compliance testing and on-going surveillances, as assigned * Prepare periodic reports and metrics regarding testing and surveillance results * Recommend controls when testing and surveillance results identify exceptions or trends * Assist with compliance team risk assessments and other compliance projects, as requested * Assist with associate political contribution requests and approvals * Assist with associate gifts and business entertainment requests and approvals * Assist with the firm's anti-money laundering program * Assist with service provider oversight for compliance team vendors * Chaperone and summarize investment personnel's expert network calls * Actively participate in various other compliance group projects and initiatives * Monitor regulatory and industry updates and make recommendations, as appropriate, regarding necessary changes to the compliance program * Develop working knowledge of various Artisan systems and business operations Qualifications The successful candidate will possess strong analytical skills and attention to detail. Additionally, the ideal candidate will possess: * Bachelor's degree in finance, accounting, economics, business administration or equivalent financial industry experience * 2-5 years of broad compliance-related experience, preferably with an investment adviser * Knowledge of equity and fixed income markets, trading practices and related instruments * Ability to maintain a high degree of confidentiality * Experience working with Charles River, Bloomberg, Aladdin, and ACA ComplianceAlpha a plus, Microsoft Excel and Tableau proficiency is preferred * Dedication to maintaining accurate desk procedures * Ability to prioritize and meet multiple deadlines with a sense of urgency * Strong organizational and analytical skills with a high level of attention to detail * Strong written and verbal communication skills, including a focus on client service-mindedness * Ability to make independent judgement and handle confidential information * Ability to demonstrate resourcefulness, creativity and initiative by identifying opportunities to enhance existing processes and implementing as appropriate Privacy Notice for California Applicants Artisan Partners Limited Partnership is an equal opportunity employer. Artisan Partners does not discriminate on the basis of race, religion, color, national origin, gender, age, disability, marital status, sexual orientation or any other characteristic protected under applicable law. All employment decisions are made on the basis of qualifications, merit and business need. #LI-Onsite/span>

The Internal Auditor executes a risk-based internal audit plan following accepted professional auditing standards. The Bank currently maintains a co-sourced relationship with an outside consulting firm. The Internal Auditor will work in conjunction with the AVP - Internal Audit. The Internal Auditor provides an independent and objective opinion by measuring and evaluating the effectiveness of and adherence to financial, accounting, and operational policies, procedures, and regulations. Internal audits are performed across various areas of the Company, including but not limited to deposits, loans, finance and accounting, and treasury management. The Internal Audit position will report to the VP - Enterprise Risk Management. RESPONSIBILITIES: * Perform internal audit engagements in conjunction with the AVP - Internal Audit, including planning, fieldwork, remediation testing, and ensuring the timely completion of all work * Conduct various additional audits as required * Assist the VP - Enterprise Risk Management and AVP - Internal Audit in preparing various audit report packages * Input of audit reports, including observations, recommendations, and management responses, into audit remediation software * Analyze and categorize internal and other audit findings metrics for analysis and reporting to the Audit Committee * Obtain and analyze department information and data to support defined internal audit procedures * Assist in formulating recommendations for improvement and communicate results to management * Act as a liaison between Bank staff and outsourced audit and consulting firms for various outsourced audits and reviews * Assist the AVP - Internal Audit and VP - Enterprise Risk Management with planning and facilitation of the Internal Audit Risk Assessment COMPETENCIES * Honesty, Integrity and Ethics: honesty and integrity is the ability to act in a fair and just manner, free from deception; ethics is the ability to be guided by the company's accepted principles of moral conduct. * Accountability: the extent to which an individual is willing to accept responsibility. * Adaptability: the extent to which an individual can fit into a changing working environment. * Decision Making: the ability to select an effective course of action while controlling resources and expenditures. * Interpersonal / Customer Oriented: the ability to develop and maintain relationships with others. The desire to serve both external and internal clients by focusing effort on meeting the client's needs, understanding their concerns, and seeking to build trust. * Relationship Building: the ability to establish and maintain a good rapport and cooperative relationship with customers, shareholders, and co-workers. * Oral Communication: to be able to communicate with clarity to clearly understand others' messages and intent, and to receive and process feedback. * Written Communication: the ability to write concise, clear letters, reports, articles, or e-mails, including proofreading and editing. * Detail Oriented: the ability of the individual to pay meticulous attention to all aspects of a situation or task, no matter how small or seemingly unimportant. * Consulting: the ability to give expert advice and be a knowledgeable resource. The ability to work collaboratively to develop possible solutions, as well as analyze information and to solve problems. * Results-oriented: the ability to drive behaviors to emphasize achievement. The ability to be self-directed towards accomplishments, be action-oriented, enjoy challenges, and pursue opportunities. * Innovative: to go beyond the conventional, a willingness to try different solutions, and to encourage new ideas. SKILLS/KNOWLEDGE/ABILITIES * Bachelor's Degree in Accounting or Finance and 3-5 years of internal audit experience * CIA or CPA designation preferred * Knowledge or ability to quickly learn applicable banking, finance, or accounting regulatory policies and procedures * Effective verbal and written communication skills * Strong interpersonal skills * Proficient computer skills (Microsoft Word, PowerPoint, and Excel) * Excellent organizational skills * Superior analytical skills * Effective problem-solving and decision-making skills * Professional skepticism * Ability to handle oneself in a professional manner * Objectivity * Attention to detail * Strong ethical focus This does not constitute an exhaustive list of responsibilities, competencies, and skills. Management may revise this job description at any time. #INDBF Qualifications

Assist the Compliance Officer in overseeing the bank's compliance management system in relation to deposit products and services. This includes monitoring, auditing, training and acting as a resource for business line managers to ensure compliance with state and federal regulations and the bank's policies and procedures. Hours: Monday - Friday 8:15am-5pm 38-40 hours/week *Hours may change at any time based on business needs Duties and Responsibilities: Conduct comprehensive compliance reviews and internal testing of deposit regulations including TISA, Reg E, Reg CC, etc. Test lending regulations including TRID, Flood, RESPA, etc. Prepare detailed reports of audit findings, presenting any irregularities or exceptions to the Compliance Officer for the final review before submission to the Business Line owners, Compliance Committee and Senior Management. Liaison with external auditors/examiners to provide needed documentation and assist with Participate in the Bank's internal deposit compliance training program. Act as resource to team members in regulatory deposit compliance areas. Collaborate effectively with business line team members to meet common goals and ensure compliance of the bank's deposit products and services. Non Essential Duties and Responsibilities: Assist with loan compliance audits as needed by CO and Loan Compliance Specialist. Lead or assist in projects as assigned to help implement deposit products and necessary regulatory changes within current products. Assist in training team members as needed in regulatory compliance areas. Any other duties as assigned. Requirements: High School Diploma or equivalent required Associate's degree (A. A.) or equivalent from two-year college or technical school; or one to three years related experience and/or training; or equivalent combination of education and experience required Ability to read, research, and interpret regulations Knowledge of State and Federal regulations in the deposits and lending areas Acts in accordance with the Bank's Service Excellence model Must comply with applicable laws and regulations, including but not limited to, the Bank Secrecy Act and the requirements of the Office of Foreign Assets Control. Additionally, all employees must follow policies and procedures to minimize risk by exercising good judgment, raising questions to management, and adhering to policy guidelines. Critical Competencies: Accountability Communication - Oral and Written Problem solving Accuracy Communication ****Equal Opportunity Employer of Minorities, Females, Protected Veterans, and Individuals with Disabilities****Our company is an equal opportunity/affirmative action employer. Applicants can learn more about their rights by viewing the federal EEO poster at *********************************************************************************************

Full-time Description MAJOR FUNCTION: Assists Internal Audit Manager and Internal Audit Staff in examining and reviewing the operations and records of ASBT to ensure that bank policies, procedures, and general accepted accounting principles are being followed, internal controls and safeguards are established and practiced, and regulatory and legal requirements are complied with. Requires some specialized knowledge of auditing procedures and ongoing audit training. Must be able to handle complete audits of small operational functions and prepare reports on findings. Work is performed under minimum supervision in most instances and will require some degree of independent judgment. RESPONSIBILITIES: 1. Conducts regular audit procedures and activities for ASBT according to the Internal Audit Risk Assessment Schedule. 2. Conducts independent audits and examinations of ASBT records to ensure compliance with laws and regulations. 3. Assists in the implementation of new or revised internal audit policies, methods, and procedures. 4. Assists ASBT internal auditors, external auditors, and regulatory examiners during audits, as necessary. 5. Prepares written reports of internal audit reviews, including findings, analyses, conclusions, and recommended actions. 6. Staff is required to be flexible with their weekly hours due to workflow and other unique situations that may arise. 7. Complete all initial and annual training requirements as outlined by ASBT. 8. Perform all other duties as required, consistent with the goals, objectives, and responsibilities of the Internal Audit function. QUALIFICATIONS: 1. Bachelor's degree in business or related field or equivalent work experience in the Banking industry. 2. Ability to develop proficiency in the application of internal auditing theories, standards, procedures, and techniques. 3. Excellent analytical skills, including the ability to define problems, collect data, establish facts, and draw valid conclusions. 4. Basic understanding of bank accounting practices, record keeping requirements, and fundamental principles of internal control. 5. Excellent organizational and communication skills 6. Good understanding of human relations and the ability to maintain satisfactory relationships with auditees. SPECIAL REQUIREMENTS: 1. Confidentiality and tactfulness in dealing with bank and customer information is mandatory. 2. Ability to conduct relationships with co-workers, customers, the community, and the overall public in a manner which will enhance the bank's image and comprehensive marketing effort. 3. Will be called upon from time to time to participate with community organizations and projects. 4. Staying abreast with all current compliance and regulatory issues is of the utmost importance. PHYSICAL DEMANDS: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit; use hands to finger, handle or feel; reach with hands and arms; and talk or hear. The employee is required to stand and walk. Specific vision abilities required by this job include close vision and ability to adjust focus. Some research may be involved which would require the employee to be mobile to access copy machines and various files located throughout the bank.

First International Bank and Trust is a family-owned community bank and one of Prairie Business Magazine's 50 best places to work. Are you a detail-driven professional with a passion for regulatory compliance and risk management? First International Bank and Trust is seeking a Compliance Consultant to join our growing Compliance Department. As our bank continues to expand in size and complexity, this role is critical to ensuring we maintain strong regulatory readiness, reduce risk, and support our teams with expert guidance. This is a great opportunity for someone with extensive experience in consumer compliance who thrives in a collaborative environment and is ready to make an immediate impact. Key Responsibilities Support FIBT s compliance programs, including training, testing, and reporting. Review policies, procedures, and products to ensure alignment with federal and state regulations especially consumer protection laws. Advise business units on regulatory changes and assist with timely implementation. Coordinate with legal counsel and departments on new or revised products and services. Create and deliver training materials to staff affected by compliance issues. Serve as a subject matter expert during regulatory exams and internal audits. Stay current on evolving banking laws and regulations. Contribute to special projects and initiatives that enhance compliance and reduce risk. Qualifications: Bachelor s degree; a minimum of three to five years of compliance experience; or equivalent combination of education and experience. Industry certifications preferred (e.g., Certified Community Bank Compliance Officer, Certified Regulatory Compliance Manager). Strong knowledge of consumer protection laws and regulatory frameworks. First International Bank and Trust is a family-owned full-service Community Bank with locations in ND, MN, SD, and AZ. We show our employees we care by providing competitive benefits and training and growth opportunities. Here are the things we offer within our full-time benefits package: Health, Dental & Vision 401K Retirement Plan with Employer Match Paid Parental Leave Life and Disability Insurance Generous PTO and Holiday pay If you are interested in learning more, you can apply or if you have questions before applying you can reach out directly at **************************. Equal Opportunity Employer

Job Description Join Waukesha State Bank as a Loan Compliance Specialist II and make a meaningful impact on our loan risk management framework. In this role, you'll support our Risk & Compliance Team by completing essential daily, weekly, and monthly compliance tasks while working closely with the Bank's Risk Officer and Loan Compliance Officer. With hands-on exposure to regulatory requirements across the banking industry-including Truth-in-Lending, RESPA, ECOA, HMDA, CRA, and more-this position offers an exceptional opportunity to deepen your expertise and grow your compliance career in a collaborative, community-focused environment. As a Loan Compliance Specialist II, you'll implement and oversee company-wide compliance monitoring, conduct transactional testing, prepare regulatory reports for senior leadership, and partner with departments across the bank to address and resolve compliance concerns. You'll also maintain key documentation for HMDA, CRA, SAFE Act requirements, and the Bank's approved appraiser list while assisting with ongoing process improvements. Ideal candidates bring at least 3 years of loan compliance experience, along with a bachelor's degree in finance, business, or a related field. If you're eager to expand your skill set while supporting strong, responsible lending practices, we invite you to apply! *** Waukesha State Bank is one of the largest locally owned and independent community banks in Wisconsin, with 14 full-service offices located throughout Waukesha County. Our strength as a successful and growing financial services provider is rooted in a long-standing commitment to serving the community with a personalized, one-on-one approach to banking and an emphasis on customer service. This is an onsite position in Waukesha County, WI Employment with Waukesha State Bank is contingent upon the successful completion of a criminal background check and drug screen. EOE Disability/Vet

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One. **Job Description** U.S. Bancorp Corporate Audit Services (CAS) is seeking a highly motivated candidate to join our growing team of audit professionals within the Digital, Technology and Operations team. This role will support audit coverage of the Wealth Management, Investment Advisory Services and Trust Products Operations business line. Operations support multiple business lines, including Consumer and Business Banking, Payment Services, and Wealth Management and Investment Services, as well as centralized support for commercial lending, electronic payments, print, cash and check services, and call center activities. The CAS Staff Auditor is primarily responsible for assisting in completing audit engagement assignments with supervision from audit team management. The ideal candidate is expected to be familiar with wealth management, investment services and trust products operations. **Primary Responsibilities:** + Assisting the Audit Project Manager in planning audit engagements. Includes performing control testing based on audit program directions; applying appropriate sampling and control testing techniques; identifying and assessing the relevancy of potential issues; and documenting work performed in TeamMate Audit Solutions to support audit scope/conclusion in compliance with CAS Policies, Standards and Guidelines. + Drafting issues under the supervision of the Senior Auditor, Audit Project Manager. Includes identifying root causes rather than symptoms of control weakness; assessing the issue relevance and potential exposures; and developing appropriate recommendations. + Collaborate with colleagues and stakeholders to evaluate, test and report on the adequacy and effectiveness of management controls. + Support integrated audits to assess IT and automated control risks within the digital systems and applications that support various business lines. + Performing additional duties as requested by CAS management. **Basic Qualifications:** + Bachelor's degree, or equivalent work experience + Typically, more than two years of applicable experience **Preferred Skills / Experience:** + Knowledge of applicable laws, regulations, and regulatory trends impacting financial services + Basic understanding of Risk/Compliance/Audit competencies + Strong verbal and written communication skills. + Knowledge of wealth management, investment services and trust products operations, information technology, digital transformation, and business processes. + Ability to manage multiple tasks and deadlines simultaneously. + Basic understanding of IIA Standards and the common definition of internal controls. + Strong analytical and critical thinking skills. + Relevant Financial Service Industry knowledge (e.g., Wealth Management, Investment Advisory and Trust Product Operations, etc.). + Proficiency in Microsoft Office and other software tools (Word, Excel, PowerPoint, databases, presentations) **Location expectations** This role requires working from a U.S. Bank location three (3) or more days per week. If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants (****************************************************************************** . **Benefits:** Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours): + Healthcare (medical, dental, vision) + Basic term and optional term life insurance + Short-term and long-term disability + Pregnancy disability and parental leave + 401(k) and employer-funded retirement plan + Paid vacation (from two to five weeks depending on salary grade and tenure) + Up to 11 paid holiday opportunities + Adoption assistance + Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. **E-Verify** U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program (********************************************************************** . The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $71,400.00 - $84,000.00 U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. **Posting may be closed earlier due to high volume of applicants.**

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One. Job Description U.S. Bancorp Corporate Audit Services (CAS) is seeking a highly motivated candidate to join our growing team of audit professionals within the Digital, Technology and Operations team. This role will support audit coverage of the Wealth Management, Investment Advisory Services and Trust Products Operations business line. Operations support multiple business lines, including Consumer and Business Banking, Payment Services, and Wealth Management and Investment Services, as well as centralized support for commercial lending, electronic payments, print, cash and check services, and call center activities. The CAS Staff Auditor is primarily responsible for assisting in completing audit engagement assignments with supervision from audit team management. The ideal candidate is expected to be familiar with wealth management, investment services and trust products operations. Primary Responsibilities: * Assisting the Audit Project Manager in planning audit engagements. Includes performing control testing based on audit program directions; applying appropriate sampling and control testing techniques; identifying and assessing the relevancy of potential issues; and documenting work performed in TeamMate Audit Solutions to support audit scope/conclusion in compliance with CAS Policies, Standards and Guidelines. * Drafting issues under the supervision of the Senior Auditor, Audit Project Manager. Includes identifying root causes rather than symptoms of control weakness; assessing the issue relevance and potential exposures; and developing appropriate recommendations. * Collaborate with colleagues and stakeholders to evaluate, test and report on the adequacy and effectiveness of management controls. * Support integrated audits to assess IT and automated control risks within the digital systems and applications that support various business lines. * Performing additional duties as requested by CAS management. Basic Qualifications: * Bachelor's degree, or equivalent work experience * Typically, more than two years of applicable experience Preferred Skills / Experience: * Knowledge of applicable laws, regulations, and regulatory trends impacting financial services * Basic understanding of Risk/Compliance/Audit competencies * Strong verbal and written communication skills. * Knowledge of wealth management, investment services and trust products operations, information technology, digital transformation, and business processes. * Ability to manage multiple tasks and deadlines simultaneously. * Basic understanding of IIA Standards and the common definition of internal controls. * Strong analytical and critical thinking skills. * Relevant Financial Service Industry knowledge (e.g., Wealth Management, Investment Advisory and Trust Product Operations, etc.). * Proficiency in Microsoft Office and other software tools (Word, Excel, PowerPoint, databases, presentations) Location expectations This role requires working from a U.S. Bank location three (3) or more days per week. If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants. Benefits: Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours): * Healthcare (medical, dental, vision) * Basic term and optional term life insurance * Short-term and long-term disability * Pregnancy disability and parental leave * 401(k) and employer-funded retirement plan * Paid vacation (from two to five weeks depending on salary grade and tenure) * Up to 11 paid holiday opportunities * Adoption assistance * Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. E-Verify U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $71,400.00 - $84,000.00 U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. Posting may be closed earlier due to high volume of applicants.

Are you a mortgage industry professional who is passionate about ensuring regulatory excellence and helping organizations stay ahead of compliance challenges? We're looking for a detail-oriented and proactive Compliance Specialist to join our team! In this role, you'll play a key part in maintaining our adherence to federal laws and regulations, supporting internal audits, and guiding our teams through complex compliance matters. If you're ready to bring your expertise to a fast-paced, dynamic environment, we'd love to hear from you! ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Under the direction of Compliance and Legal Umbrella Management: Act as a compliance resource and respond to compliance questions from branch offices, other departments, investors, regulators, and others as needed. Assist in execution of Compliance Plan by performing various internal and regulatory compliance reviews. Investigate potential compliance issues and report findings. Research, analyze and summarize state and federal laws, regulations, etc. Prepare and maintain regulatory filings. Perform research and investigation as necessary to assist with the completion of company reports. Assist with audits, exams, and the preparation and completion of compliance reports and follow up to ensure issues are resolved. Assist with HMDA data review process and enter information through the QuestSoft program. Support Marketing Team and assist with marketing compliance by reviewing marketing materials and providing feedback. Assist with staff compliance training (including content development/refinement), maintain training schedules, and track completion. Assess compliance-related policies and procedures and make recommendations. Assist Compliance and Legal Umbrella Management as needed. Administrative duties such as copying, scanning, preparing mailings, etc. ADDITIONAL DUTIES: Complete any additional duties as assigned by management. Complete regulatory and compliance training, as required. Assist WMC employees and Departments as needed. QUALIFICATIONS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. In-depth understanding of federal and state mortgage regulations, including but not limited to RESPA, TILA, ECOA, HMDA, FCRA and FHA/VA program requirements. Must possess a strong working knowledge of the end-to-end mortgage process from application through closing and post-closing compliance. Proven ability to identify, interpret, and apply compliance requirements in a dynamic lending environment. Experience collaborating with operations, quality control, and audit teams to implement and monitor compliance policies and procedures. Experience with Encompass Loan Origination System. Extensive familiarity with regulatory frameworks and with the regulatory environment related to the mortgage lending industry or a related field. Extensive experience working with regulators such as FDIC, HUD, or similar and/or state regulators. Ability to manage people. Familiarity with existing state and federal laws and regulations and proven ability to learn new state and federal laws and regulations related to the mortgage lending industry. Ability to conduct investigations and interviews using excellent communication skills. Ability to summarize and communicate complex information in written and oral formats. Ability to maintain confidential and/or privileged information. Ability to work individually and within a team. Ability to communicate complex information in plain language. Strong leadership skills. General administrative skills. EDUCATION and/or EXPERIENCE: Bachelors degree or equivalent work experience is required. 5+ years work-related experience in the mortgage industry or within a regulatory environment is required. COMPUTER SKILLS: Encompass LOS, Mavent, Microsoft Office, Excel, and Adobe skills are required. NMLS, QuestSoft, and NContracts experience is preferred but not required. Individuals in this position shall not engage in loan origination during the course of his/her employment with WMC. Loan origination is defined as (1) taking a residential mortgage loan application; or (2) offering or negotiating terms of a residential mortgage loan for compensation or gain; (3) advertising or communicating to the public that you can perform loan origination services. Please see the Loan Originator Compensation Policy for more details on the definition of loan origination.