Compliance Officer Assistant

FIRST ENTERPRISE BANK•Oklahoma City, OK

2d•Onsite

About The Position

The Assistant to the Compliance Officer supports the Compliance Officer in the day-to-day administration of the bank’s compliance programs. This position coordinates outsourced audit providers, performs assigned independent reviews, tracks audit findings, validates corrective action, and reports audit results to the Compliance/Audit Committee. Responsibilities include assisting with selected compliance monitoring, documentation, complaint tracking, and examination preparation. This position plays a role in fulfilling the bank’s purpose of building meaningful relationships as we invest in our communities by helping maintain a culture of integrity, accountability, and safety for the bank and our customers.

Requirements

High school diploma or equivalent required
Proficiency in Microsoft Office (Word, Excel, Outlook)
Ability to learn bank systems, and other compliance tools
Ability to analyze information, identify exceptions, and escalate concerns appropriately
Ability to handle confidential and sensitive information with discretion

Nice To Haves

Associate’s or bachelor’s degree in business, finance, accounting, or a related field preferred
Prior banking, compliance, audit, operations, or risk management experience preferred
Working knowledge of community bank operations and applicable banking regulations preferred
Strong attention to detail and accuracy; ability to follow established procedures, meet deadlines, and manage multiple priorities
Excellent organizational, analytical, and time management skills
Effective verbal and written communication skills

Responsibilities

Maintain organized compliance files in accordance with record retention requirements, examination standards, and internal procedures.
Coordinate internal and outsourced audit activities.
Perform assigned internal audits and independent reviews.
Support internal audits, independent testing, and regulatory examinations by gathering documentation, preparing reports, and assisting with follow-up items.
Maintain audit workpapers and supporting documentation; prepare written audit reports.
Assist the Compliance Officer with compliance monitoring and testing activities, including tracking exceptions, documenting results, and maintaining evidence of review.
Help maintain compliance-related policies, procedures, forms, logs, and training records to ensure documentation remains current and complete.
Assist with the intake, tracking, and documentation of consumer complaints and help identify recurring issues for management review.
Prepare reports, spreadsheets, and other administrative support materials for the Compliance Officer, BSA Officer, senior management, internal audit, and Board reporting, as assigned.
Participate in ongoing training to remain current on consumer compliance and related banking regulatory requirements.
Perform other duties as assigned by the Compliance Officer or management.