AVP-Retail Compliance

Location: 4555 W Shroeder Drive,Brown Deer,WisconsinThe AVP of Retail Compliance will report to the VP of Loss Prevention/Security/Compliance and will be responsible for ensuring the Retail Bank branches and operations are conducting business in accordance with governing rules and regulations, keeping abreast of rules and regulations, and updating policies and procedures as required. The duties of the AVP Retail Compliance include, but are not limited to, the following: § Monitoring the dormant account letter process and handling customer inquiries. § Performing daily review of exception reports and researching unusual activity. § Sending customer notification letters and filing Unclaimed Property reports. § File maintaining Get Checking accounts and sending paperwork to CRA Officer. § Reviewing annuity applications for completeness prior to submission. § Performing compliance audits and recommending process changes, as needed (Reg CC, Reg E). § Reviewing advertising materials, internet sites, forms, brochures and other printed materials to ensure compliance. § Updating forms and disclosures for new products/services, changes in regulations/laws. § Responding to customer complaints, verbal or written. § Performing annual Fiserv disaster recovery test. § Lead committee member for retail policies § Conducting due diligence reviews of all aspects of the retail divisions compliance program. § Managing vendor relationships, holding them accountable to performance standards. § Evaluating existing compliance training for maximum efficiency and effectiveness. § Responding to questions from branches, internal departments and customers pertaining to policies and procedures, as well as legal and compliance issues. § Coordinating required annual regulatory mailings, disclosures, and branch notices. § Conducting ongoing review of the Retail Bank’s policies and procedures. § Resource for updating and testing of the Business Continuity and Disaster Plans for the Retail Bank branches and operations. § Other projects and responsibilities as deemed necessary. Hours Minimum of 40 hours per week required, with occasional travel. Qualifications/Minimum Requirements To perform this job successfully, an individual must be able to perform each essential duty outlined within the job description satisfactorily. The qualified candidate must have the following: previous managerial experience; at least three years of previous related experience managing or conducting daily responsibilities associated with a retail compliance program; excellent time management and communication skills; the ability to handle stressful situations; detail oriented; organized; and proficient with MS Office applications. In addition, the individual must act as a business partner with business unit leaders, branches, vendors, and retail operations. Bachelor’s degree (B.A.) from four-year college or university is desired, but not required.
REQUIREMENTS
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