Compliance Specialist Financial Services
Country Financial 118 reviews - Bloomington, IL

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Compliance Specialist Financial Services (
        Job Number:

        120000661 ) Description Under the direction of the CCO, acts as lead compliance professional for at least one of the following: banking/thrift, investment adviser and or investment companies. Develops broad based knowledge of federal and/or state regulatory requirements but with a focus on the assigned business partner(s) among the banking/thrift, investment adviser, investment companies. For the assigned business partners, performs gap analysis for compliance calendar items; reviews compliance analyst reports, dashboards, flowcharts, and transactions for inclusion in regulatory self-assessments; c onducts regulatory self-assessments, tests procedures and controls to ensure regulatory compliance and produces gap reports for the CCO. Under the direction of the CCO, implements and maintains comprehensive compliance program documentation for assigned business partners; documents changes and additions to assigned business partner compliance policies and procedures. Assists with identifying assigned business partner compliance needs and delivering compliance solutions and training. Assists in resolving deficiencies and implementing corresponding internal controls for assigned business partners. Assists with documentation for federal and/or state regulatory examinations and internal/external audits for assigned business partners. Assists other compliance department members with analysis, interpretation and application of compliance laws and regulations. Qualifications Required Skills: Education : Education equivalent to graduation from college or the equivalent in related work experience. Experience : Minimum three years experience with financial services compliance laws and regulations including experience with banking/thrift, trust, investment management, investment adviser and/or investment company compliance programs. Knowledge : Demonstrated knowledge and application of compliance programs for banking/thrift, trust, investment adviser and/or investment companies. Skills : Ability to work independently and/or in a group, collaborating and facilitating with others. Ability to set daily priorities and multi-task. Ability to cope with a rapidly changing environment. Excellent problem solving skills. Excellent oral and written communication skills as well as listening skills. Excellent organizational skills and attention to detail. Demonstrates a working knowledge of Microsoft Office Products (or comparable): Outlook, Word, Excel, Power Point and Access. Preferred Skills: Education : Certified Fiduciary & Investment Risk Specialist designation (CFIRS). Experience : Three to five years compliance program experience for bank, trust, investment management, investment adviser or investment company compliance programs, forensic testing, documentation and management reporting. Knowledge : Demonstrated knowledge of COUNTRY policies, procedures and compliance programs, forensic testing, documentation and management reporting for the banking/thrift, investment adviser and/or investment companies. *Note - This position is part of a job family: Compliance Analyst Financial Services Compliance Specialist Financial Services Senior Comliance Specialist Financial Services Candidate qualifications and skills will determine job placement. *Li-LS1

        About this company
        118 reviews
        COUNTRY was founded in 1925 when a group of Illinois Agricultural Association members developed an organization to provide fire and...