Assist the Compliance Program Manager in the draft, implementation and maintenance of the consumer and corporate compliance policies and procedures.
November 14, 2022
Participate in submission of quarterly filings to FINRA for regulatory and customer complaints.
November 25, 2022
Monitors, and as necessary, coordinates corporate compliance activities of other departments to remain abreast of the status of all corporate compliance activities and to identify trends.
January 04, 2023
Understanding of coding and reimbursement systems, risk management and performance improvement is helpful.
January 16, 2023
Develops subject matter expertise of one or more Bank processes and/or systems to ensure the ability to understand and form opinions regarding the effectiveness of the control environment in complying with various statutes and recommendations that apply to Bank activities.
February 22, 2023
Maintains statistical and evaluative data on all program audits, evaluations, and risk analyses and provides trend data to inform and direct quality improvement processes and practices.
March 11, 2023
Demonstrated excellent judgment with the ability to independently solve problems and make decisions with little or no need for direct supervision.
March 17, 2023
Provides reports on a regular basis and, as directed or requested, keeps the Corporate Compliance Committee and senior management informed of the operation and progress of compliance efforts.
March 23, 2023
Manages the corporate compliance hotline with activities including but not limited to managing relationship with external compliance hotline administrator, analyzing trends of corporate compliance activities and reporting to senior leadership on trends, and recommending any needed changes or enhancements to the corporate compliance reporting process.
April 06, 2023
Responds to alleged violations of regulations, corporate compliance policies and procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures.
April 14, 2023
