Compliance Officer II

Risk And Compliance Support Specialist

As an individual contributor, this role supports the development and execution of a comprehensive risk and compliance program. The position assists in identifying, evaluating, and mitigating operational and regulatory risks while promoting a culture of risk awareness and compliance ownership. This role contributes to the enhancement of processes, controls, and risk management practices to meet regulatory expectations and organizational standards.

Responsibilities

Risk and compliance support: Supports the execution of first line risk and compliance activities by contributing to the identification, evaluation, and mitigation of risks across business processes. Assists with collecting information, documenting findings, and maintaining organized work papers. Helps ensure that risk management practices adhere to internal policies and applicable regulations.

Testing and monitoring activities: Conducts regular testing and monitoring of processes, controls, and risk indicators. Prepares clear and accurate work papers that document testing methodologies, results, and conclusions. Assists with quarterly compliance risk matrix updates and related reporting.

Issue identification and guidance: Responds to routine questions and inquiries related to risk and compliance requirements. Identifies potential issues and escalates concerns to management with supporting information. Provides basic recommendations to address control gaps or process inefficiencies.

Policy, procedure, and process maintenance: Assists in maintaining policies, procedures, and operational controls designed to reduce risk exposure. Supports the development and implementation of new or updated documentation as regulatory requirements or internal policies evolve.

Stakeholder coordination: Collaborates with internal partners to gather information, communicate risk developments, and support compliance-related initiatives. Helps ensure that forms, training materials, and operational documentation align with updated requirements.

Performs other responsibilities and duties as assigned.

Qualifications

Bachelor's degree in business, accounting, finance, or a related field. Equivalent work experience or certification(s) may be considered in lieu of degree.

Minimum 4 years of experience in a financial institution or related environment with emphasis on compliance or risk management functions.

Professional certification such as certified risk professional or similar preferred.

Proficient with Microsoft Office applications.

Intermediate knowledge and skill proficiency in bank acumen, continuous improvement, cross-functional collaboration, customer experience, laws and regulations, and regulatory compliance.

Basic knowledge and skill proficiency in business acumen, critical thinking, decision making and judgement, examination and analysis, and risk governance.

Additional required knowledge, skills, abilities, and behaviors include analytical and problem-solving abilities, strong attention to detail, and the capacity to manage multiple assignments. Effective verbal, written, and interpersonal communication skills are essential, along with the ability to express complex information clearly and concisely.

Required Skills

Bank acumen

Business acumen

Continuous improvement

Critical thinking

Cross-functional collaboration

Customer experience

Decision making & judgement

Examination & analysis

Laws & regulations

Regulatory compliance

Risk governance