Compliance Officer Assistant

FIRST ENTERPRISE BANK•Oklahoma City, OK

2d•Onsite

About The Position

The Assistant to the Compliance Officer supports the Compliance Officer and BSA Officer in the day-to-day administration of the bank’s BSA/AML and compliance programs. This position is primarily focused on operational BSA responsibilities, including transaction monitoring, customer due diligence, regulatory reporting support, and recordkeeping, while also 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. Core Values in Action This role is expected to consistently demonstrate the bank’s core values: Courage – Do what is right even when it is uncomfortable or inconvenient. Compassion – Demonstrate patience, professionalism, discretion, and a commitment to a process that protects people. Wisdom – Exercise sound judgment, attention to detail, and a thoughtful approach to risk and responsibility.

Requirements

High school diploma or equivalent required; associate or bachelor’s degree in business, finance, accounting, or a related field preferred.
Prior banking, BSA/AML, 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.
Proficiency in Microsoft Office (Word, Excel, Outlook) and the ability to learn bank systems, AML monitoring software, and other compliance tools.
Excellent organizational, analytical, and time management skills.
Effective verbal and written communication skills.
Ability to analyze information, identify exceptions, and escalate concerns appropriately.
Ability to handle confidential and sensitive information with discretion.

Responsibilities

Assist with daily monitoring of transactions, reports, alerts, and exception items for suspicious activity, cash activity, and other BSA/AML compliance requirements.
Review alerts generated by the bank’s AML monitoring systems and escalate unusual or potentially suspicious activity to the BSA Officer or Compliance Officer as appropriate.
Conduct and maintain customer due diligence (CDD), beneficial ownership, and enhanced due diligence (EDD) documentation for new and existing customer accounts.
Assist in the preparation, review, and filing of Currency Transaction Reports (CTRs), Suspicious Activity Reports (SARs), and other required BSA-related reports accurately and within regulatory timeframes.
Maintain organized BSA/AML and compliance files in accordance with record retention requirements, examination standards, and internal procedures.
Conduct periodic reviews of higher-risk customers and accounts, including cannabis-related businesses (CRBs) and other designated higher-risk relationships, as assigned.
Support internal audits, independent testing, and regulatory examinations by gathering documentation, preparing reports, and assisting with follow-up items.
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 BSA/AML, OFAC, consumer compliance, and related banking regulatory requirements.
Perform other duties as assigned by the Compliance Officer, BSA Officer, or management.