Internal Compliance Officer
Dakota Legacy AdvisorsSun Prairie, WI, USjob_description.job_card.30_days_ago
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job_description.job_card.job_descriptionMonitor and assess the bank’s adherence to regulatory requirements, including but not limited to BSA / AML, CRA, Fair Lending, HMDA, GLBA, and other state and federal regulations. Conduct regular internal compliance reviews and audits across departments to evaluate risk and ensure policy and procedural adherence. Develop and maintain the bank’s compliance program, including drafting and updating policies and procedures. Identify, report, and help remediate any instances of non-compliance or operational risk. Prepare and file regulatory reports and documentation in a timely and accurate manner. Assist with the coordination of regulatory examinations and external audits. Provide compliance training and education to employees across the bank to promote a strong culture of compliance. Stay current with changes in laws, regulations, and best practices affecting the banking industry. Work with senior management and department heads to implement corrective actions and process improvements as needed. Serve as a point of contact for compliance-related inquiries from internal staff and regulatory bodies. Qualifications : Bachelor’s degree in Business, Finance, Accounting, or a related field; professional certifications such as CRCM (Certified Regulatory Compliance Manager) or CAMS (Certified Anti-Money Laundering Specialist) preferred. Minimum of 3–5 years of experience in banking compliance, risk management, or audit. In-depth knowledge of banking regulations and compliance frameworks. Strong analytical, organizational, and problem-solving skills. Excellent communication skills, both written and verbal. Ability to manage multiple priorities and work independently in a fast-paced environment. High level of integrity and discretion in handling confidential information. Proficiency in Microsoft Office and compliance management systems. Working Conditions : Office-based position with occasional travel for training, audits, or conferences. May involve extended hours during audit preparation or regulatory exams. Compensation : Competitive salary based on experience, with a comprehensive benefits package including health insurance, 401(k), paid time off, and opportunities for professional development and certification reimbursement. To Apply : Please submit your resume and a cover letter highlighting your compliance experience to Joe Lewison at (605) 318-3322 or jlewison@dakotalegacyadvisors.com EEO Statement : Dakota Legacy Advisors does not discriminate in employment decisions on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service, or other non-merit facto Powered by JazzHR
Job Title :
- Internal Compliance Officer Location : Sun Prairie, WI Job Type : Full-time Reports To : Chief Compliance Officer / Chief Risk Officer / President & CEO Job Summary : We are seeking a detail-oriented and proactive Internal Compliance Officer to ensure that our bank operates in full compliance with all applicable laws, regulations, and internal policies.
- This role is critical in maintaining the integrity of our operations, safeguarding our reputation, and mitigating regulatory risk.
The ideal candidate will have a strong background in banking compliance, internal controls, and regulatory reporting. Key Responsibilities :
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Compliance Officer • Sun Prairie, WI, US
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