Branch Compliance Specialist

Overview

The Branch Compliance Specialist ensures that the branch operates in full compliance with internal policies, regulatory requirements, and industry standards. This role is responsible for monitoring branch activities, conducting audits, identifying risk exposures, and providing guidance on compliance-related issues to ensure operational integrity and regulatory adherence.

Responsibilities

• Monitor branch operations to ensure adherence to company policies, legal regulations, and industry best practices.
• Conduct regular compliance audits and prepare detailed reports on findings and recommendations.
• Identify and escalate compliance risks or breaches to the appropriate internal authorities.
• Assist in the implementation and communication of compliance policies and procedures at the branch level.
• Provide training and support to branch staff on compliance requirements and regulatory updates.
• Maintain up-to-date knowledge of relevant laws, rules, and regulations applicable to the branch's operations.
• Collaborate with internal audit, risk, and legal teams on branch-related compliance matters.
• Ensure all required documentation, licenses, and certifications are current and properly maintained.
• Support investigations and resolution of compliance-related issues or customer complaints.
• Prepare compliance reports for senior management and regulatory bodies as required.

Requirements

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