Compliance Advisor

Stock Yards Bank & Trust • Louisville, KY

2d • Onsite

About The Position

The Compliance Advisor serves as a second-line compliance risk partner to assigned business unit(s), helping to identify, assess, and mitigate regulatory risk across products, services, processes, and customer interactions. In partnership with frontline stakeholders, this role strengthens the effectiveness of the compliance management system through risk assessment, monitoring and testing, issue management, complaint oversight, training, and regulatory change implementation, while providing clear reporting and actionable insights to leadership.

Requirements

• Bachelor’s degree in Business, Finance, Risk Management, or a related field; equivalent relevant experience may be considered.
• Minimum of 5 years of experience in banking operations, compliance, risk management, audit, or a related control function, including working knowledge of applicable state and federal regulatory requirements
• Strong knowledge of state and federal banking regulations, banking operations, and compliance risk management practices
• Strong analytical, organizational, and problem-solving skills, with the ability to assess issues, identify root causes, and recommend practical solutions
• Excellent verbal and written communication skills, including the ability to influence stakeholders and communicate with credibility across all levels of the organization
• Ability to manage multiple priorities independently and operate effectively in a dynamic, deadline-driven environment
• Proficiency in Microsoft Office applications, especially Excel and Word, and experience with automated compliance monitoring or issue management systems
• Ability to read, analyze, and interpret government regulations, trade journals, and legal documents

Nice To Haves

• CRCM certification or a comparable compliance credential is preferred, but not required

Responsibilities

• Serves as the compliance subject matter expert for assigned business unit(s), translating regulatory developments into practical guidance, credible challenge, and sustainable control enhancements
• Maintains compliance risk assessments, regulatory applicability analyses, and risk-control inventories to evaluate exposure across new and existing products, services, processes, and third-party relationships
• Executes second-line monitoring and testing activities and evaluates first-line control effectiveness to identify themes, emerging risks, and gaps requiring remediation
• Prepares clear, decision-ready compliance reports for leadership and board-level committees and tracks issues, conclusions, recommendations, and remediation through the compliance issue management process
• Partners with business leaders to enhance policies, procedures, forms, job aids, and control design so they remain accurate, current, and aligned with regulatory requirements
• Follows through with internal stakeholders to confirm corrective actions are implemented on time and are effective in addressing identified compliance risks
• Provides compliance review and advisory support for marketing and advertising materials to promote adherence to applicable laws, regulations, and internal standards
• Oversees regulatory aspects of customer complaints for assigned business unit(s), ensuring issues are investigated, documented, trended, and resolved through the Bank’s complaint management process
• Supports development and delivery of targeted compliance training to strengthen regulatory awareness, accountability, and execution across the organization
• Supports enterprise communication of compliance priorities and contributes to department-wide awareness initiatives, including internal publications
• Assists with administration of compliance training activities, including learning systems and assigned program support
• Maintains current knowledge of the Bank’s products, services, markets, and associated compliance risks
• Supports regulatory examinations by coordinating requests, preparing materials, and facilitating timely responses to examiners
• Leads or contributes to special projects that strengthen the compliance program or support broader organizational priorities
• Performs other duties as assigned

Benefits

• 401(K) with a company match of up to 6%
• ESOP employer match
• Medical insurance
• Dental insurance
• Vision insurance
• Cancer/Disease insurance
• Accident insurance
• Flexible Spending Accounts
• Flexible Savings Accounts
• Health Savings Accounts
• Bank paid Life/AD&D insurance
• Voluntary Life/AD&D insurance
• Bank paid Short-Term and Long-Term Disability insurance
• Employee Stock Purchase Plan
• Employee Assistance Program

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level