Bank Compliance Specialist

At COUNTRY Financial, our Bank Compliance Specialist acts as lead compliance professional for banking/thrift, AML/BSA, investment management, retirement, trust and/or investment company business partners; providing day-to-day compliance support, analyzing and validating data, documenting risks, gaps and internal controls; documenting updates to policies and procedures; and assisting with federal and/or state regulatory examinations and internal/external audits


  • Develops broad based knowledge of federal and/or state regulatory requirements with a focus on the assigned business partner(s) or compliance areas.
  • Implements and maintains comprehensive compliance program documentation for assigned business partners or compliance areas; documents changes and additions to policies and procedures.
  • Performs gap analyses and produces gap reports for compliance calendar items; reviews system produced reports and transactions, tests procedures and controls, creates dashboards and flowcharts for regulatory self-assessments and produces reports for the Chief Compliance Officer (CCO).
  • Assists with identifying assigned business partner compliance needs; identifying and resolving deficiencies, implementing internal controls, delivering compliance solutions and providing training.
  • Assists business partners and other compliance department members with analysis, interpretation and application of compliance laws and regulations.
  • This position is part of a job family. Placement will be determined by skills and qualifications of the candidate.

Required Qualifications:

  • Education equivalent to graduation from college or the equivalent in related work experience.
  • Three or more years of experience with financial services compliance laws and regulations including experience with banking/thrift, BSA/AML investment management, retirement, trust and/or investment company compliance programs and training.
  • Demonstrated knowledge and application of compliance programs for banking/thrift, BSA/AML investment management, retirement trust and/or investment companies.
  • 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.
  • Demonstrated working knowledge of Microsoft Office Products (or comparable): Outlook, Word, Excel, Power Point and Access.

Preferred Qualifications:

  • Certified Fiduciary and Investment Risk Specialist designation (CFIRS).
  • Experience with creating queries in FIS (SunGard) AddVantage systems, filing MLR reports with OCC.
  • Three or more years of compliance program experience and management reporting for banking/thrift, BSA/AML, investment management, retirement, trust and/or investment company compliance programs, forensic testing, documentation, etc.
  • Demonstrated knowledge of COUNTRY Trust Bank policies, procedures, compliance programs, forensic testing documentation and management reporting.

Physical Requirements:

  • Work may extend beyond normal business hours as business needs dictate.
  • Occasional travel and overnight for training purposes, to participate in meetings or to monitor field office activities.

For more details about careers at COUNTRY Financial®, please visit us online at and connect with us on Facebook, Twitter, and LinkedIn.


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