- Continually perform Compliance Risk Assessments based on current environment.
- Maintain proficient knowledge of the regulations.
- Present to Board of Directors updates and revisions of policies and procedures addressing each regulation.
- Provide compliance training for Bank personnel.
- Monitor/audit the Bank for compliance.
- Disseminate information regarding new or amended regulations to appropriate personnel.
- Coordinate the implementation of changes required by new or amended regulations.
- Coordinate regulatory compliance examinations.
- Monitor and respond to consumer complaints.
- Monitor changes regarding compliance forms, policies & procedures, employee practices, information systems, error corrections.
- Coordinate all compliance activities: organizing, planning, directing, monitoring, controlling, supervising staff performance.
- Coordinate compliance file reviews..
- Monitor all promotional materials for compliance including advertisements, brochures, lobby notices, and signs.
- Coordinate and oversee correction of compliance violations, tracking violations and remediation in a reportable format.
- Attend training seminars and meetings pertaining to compliance when offered by Minnesota Bankers Association and/or regulators or other providers as deemed appropriate.
- Attendance at various community functions, some outside of normal work hours may be required.
- Perform audit risk assessments to determine current bank risks and schedule audits accordingly.
- Conduct all audits based on current risk assessment.
- Maintain complete independence from the rest of the bank.
- Maintain an adequate and accurate system of work papers to facilitate the preparation of audit reports.
- Performing internal audit work related to meeting the requirements of a directors exam for Department of Commerce bank regulations.
- Make recommendations to Bank Management from time to time regarding internal controls and safeguards, the Banks accounting system, regulatory and legal compliance, and changes to bank's policy and procedures manual.
- Prepare written Internal Audit reports.
- Attend Board Meetings.
- Maintain confidentiality.
- Attend MBA training seminars and meetings pertaining to auditing.
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Compliance Coordinator/Internal Auditor - London, United Kingdom - Minnesota Bankers Association
Description
Location: Willmar, New London and Sunburg offices-visiting all offices as needed/Hybrid Remote
To ensure that the Bank complies with all applicable consumer protection laws and regulations, including federal laws, state usury, and property laws. To oversee ongoing education and training for all bank employees in compliance related issues. Regularly exercises independent judgement and discretion about matters of significance.
Position Responsibilities/Essential Functions:
Internal Auditor Primary Job Purpose
Maintain, implement, and manage Bank's written Internal/External Audit Program with the purpose of evaluating the adequacy, accuracy, effectiveness, and efficiency of the Internal Control System, which has been established by Bank Management. Perform periodic examinations of all bank records relating to all banking activities and document all audit findings. Report directly to the Board of Directors the results of audit findings.
Specific Duties
Education & Experience
Education: Minimum of 4-year college degree
Experience: Minimum of 3 years overall banking experience in a wide range of areas within a bank and at least 2 years of compliance experience would be essential for this position. Supervisory experience would also be helpful.
Class: Exempt
About
Farmers State Bank was organized in 1914 and changed it's name to Lake Region Bank in 2003 in order to identify it's customer base and communities it serves. What has not changed since 1915 is the philosophy of the bank to provide the financial needs of its communities in the most effective and efficient means along with great personal customer service. Our mission is to provide all the financial services our customers need, and even some they don't know they need. And, to do it in such a way they share their positive experiences with friends and family. We deliver high quality financial products and services to our community at fair and competitive prices, while earning the highest possible return on equity. We create long-term shareholder value by providing superior financial services through committed professionals employed in an environment which enables them to achieve their potential while being involved, concerned citizens. We have branches in New London, Willmar and Sunburg.
Member FDIC. Lake Region Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, age, gender, sexual preference or orientation, gender identity, national origin, disability, protected veteran status, and all other protected statuses.
How to Apply
Qualified candidates may submit a resume to:
Lake Region Bank
Attn: HR Department
PO Box 450
New London MN 56273
or Email: