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Compliance Specialist - Lowell
Enterprise Bank, is a growing and successful commercial bank where your talents will be recognized. Consistently being recognized both nationally and locally as a "Top Place to Work", Enterprise Bank team members are as important to us as our core values. Join our dynamic team and experience a unique workplace culture where success is shared, and diversity is celebrated.
What You'll Do: Enterprise Bank has an exciting opportunity in Risk Management! We are looking for a Compliance Specialist to join our exceptional Compliance team. The Compliance Specialist will assist in supporting the bank-wide compliance program. Under the direction of the Compliance Director, this individual will administer the legal subpoena and financial records request process, assist in administration of the issuance and follow-up of compliance monitoring reports, findings resolution management, and assist in material and meeting preparations for management and board level committees. This position will also assist the Compliance department where necessary in conducting reviews and analysis of products and services, marketing materials, branch signage, compliance monitoring reviews, fair lending and CRA requirements.
ESSENTIAL FUNCTIONS & RESPONSIBILITIES:
Overall Compliance
Community Reinvestment Act (CRA)
Other
The schedule for this position is Monday - Friday 8:30am - 5:00pm. This position is eligible for Offsite, Hybrid or Onsite work. The person in this position may be required to come onsite for teambuilding, training, etc. Candidates from MA, NH, and ME only.
Requirements: Associate degree; Bachelor's degree (B.A./ B.S.) from a four year college or university preferred and two or more years of banking experience or equivalent combination of education and experience.
If you don't meet all the requirements, apply anyway! Our recruiting team considers your entire professional journey. Enterprise team members are made up of more than just their previous titles.
Our DEIB Value Statement: At Enterprise Bank, people and relationships come first. We encourage and foster a culture of diversity, equity, inclusion, and belonging where everyone feels valued and respected. We are committed to a caring workplace that recognizes the importance of making a meaningful, positive difference in the lives of our team members, customers, and communities. Please click here to view our Inclusion website for more information and to learn more of our story and Core Values.
Benefits: We encourage every team member at Enterprise to lead a healthy and balanced life. We offer generous paid time-off programs, exceptional Tuition Assistance, College Loan Repayment, Wellness programs, Employee Resource Groups, opportunities to assist in your community as well as health, dental and life insurance coverage and a generous 401(k) match.
Enterprise Bank is an equal opportunity employer and makes employment without regard to race, color, religion, gender, sexual orientation, age, national origin, ancestry, genetic information, gender identity, disability, marital status, active or veteran military status, retaliation or any other protected status. EOE M/F/Disabled/Vet.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
Compliance Specialist - Lowell
Enterprise Bank, is a growing and successful commercial bank where your talents will be recognized. Consistently being recognized both nationally and locally as a "Top Place to Work", Enterprise Bank team members are as important to us as our core values. Join our dynamic team and experience a unique workplace culture where success is shared, and diversity is celebrated.
What You'll Do: Enterprise Bank has an exciting opportunity in Risk Management! We are looking for a Compliance Specialist to join our exceptional Compliance team. The Compliance Specialist will assist in supporting the bank-wide compliance program. Under the direction of the Compliance Director, this individual will administer the legal subpoena and financial records request process, assist in administration of the issuance and follow-up of compliance monitoring reports, findings resolution management, and assist in material and meeting preparations for management and board level committees. This position will also assist the Compliance department where necessary in conducting reviews and analysis of products and services, marketing materials, branch signage, compliance monitoring reviews, fair lending and CRA requirements.
ESSENTIAL FUNCTIONS & RESPONSIBILITIES:
Overall Compliance
- Primarily responsible for the legal subpoena and financial records request process. This includes handling the intake, review for applicability, distribution to the production areas, review of records submitted and the submission to the requesting party.
- With support from other compliance team members, primarily responsible for issuing and following up on compliance monitoring review reports with impacted business lines. This includes issuing draft compliance monitoring reports, gathering management responses, validating the effectiveness of responses, and following up on outstanding compliance findings. Documenting and preparing outstanding compliance monitoring findings for management and board level committees.
- Assists the Compliance Director in preparing Board related reports on a quarterly or more frequent basis.
- Assists the Compliance Manager with preparing and distributing materials for Compliance Committee.
- Works with the branches, marketing and facilities for appropriate branch signage including assisting in performing the review of signage at the branches annually.
- Assists the compliance team with the bank-wide compliance monitoring program for compliance with state and federal banking regulations.
- Working with others in compliance, reviews and approves marketing and promotional materials including the Bank's website, social media pages and other media channels including forms and disclosures created throughout the Bank for regulatory compliance prior to distribution or becoming effective.
- Assists in maintaining the compliance library for the bank.
- In collaboration with the compliance team, works with various departments to ascertain that various products, services, and programs, new and revised, are in compliance with all federal and state laws and regulations.
- Assists with external regulatory compliance examinations and/or external compliance audits, coordinating requested off-site and on-site examination information.
Community Reinvestment Act (CRA)
- Acts as the secretary for the quarterly CRA Committee meetings.
- Assists the CRA Officer in preparing and sending materials for quarterly CRA Committee Meetings.
- Assists the CRA Officer in monitoring the Bank's overall CRA activity for compliance with banking rules and regulations. This includes gathering information for the annual analysis of the assessment area and other CRA related requirements.
- Assists in the coordination for CRA examinations and monitors the posting of required CRA compliance public notices at each branch location.
Other
- Performs all duties consistent with applicable Federal and State laws and regulations and Bank policies.
- Performs other related duties as assigned by the Compliance Director and/or Chief Risk Officer.
- Exceeds customer expectations by following the guidelines outlined in the Customer Experience Program.
The schedule for this position is Monday - Friday 8:30am - 5:00pm. This position is eligible for Offsite, Hybrid or Onsite work. The person in this position may be required to come onsite for teambuilding, training, etc. Candidates from MA, NH, and ME only.
Requirements: Associate degree; Bachelor's degree (B.A./ B.S.) from a four year college or university preferred and two or more years of banking experience or equivalent combination of education and experience.
If you don't meet all the requirements, apply anyway! Our recruiting team considers your entire professional journey. Enterprise team members are made up of more than just their previous titles.
Our DEIB Value Statement: At Enterprise Bank, people and relationships come first. We encourage and foster a culture of diversity, equity, inclusion, and belonging where everyone feels valued and respected. We are committed to a caring workplace that recognizes the importance of making a meaningful, positive difference in the lives of our team members, customers, and communities. Please click here to view our Inclusion website for more information and to learn more of our story and Core Values.
Benefits: We encourage every team member at Enterprise to lead a healthy and balanced life. We offer generous paid time-off programs, exceptional Tuition Assistance, College Loan Repayment, Wellness programs, Employee Resource Groups, opportunities to assist in your community as well as health, dental and life insurance coverage and a generous 401(k) match.
Enterprise Bank is an equal opportunity employer and makes employment without regard to race, color, religion, gender, sexual orientation, age, national origin, ancestry, genetic information, gender identity, disability, marital status, active or veteran military status, retaliation or any other protected status. EOE M/F/Disabled/Vet.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
