Compliance Assistant
Job Details
Edmond Banking Center - Edmond, OK
Full Time

EOE M/F/Vets/Disability Affirmative Action Employer

JOB SUMMARY: This position is primarily responsible for managing compliance audits and reporting findings.


  • Manage and report compliance exceptions through reviews of loans, deposits, HMDA activity and advertising activity.
  • Identify potential risks and provide feedback and observations as to those risks.
  • Track and follow up on previous compliance monitoring exceptions and compliance audit recommendations (External/Internal Audits)
  • Assist in the development and implementation of internal compliance policies and procedures in accordance with best practices.
  • Help supervisor maintain compliance throughout the organization.
  • Support various departments by collecting and coordinating internal compliance data with auditors and various departments.
  • Ensure complete, accurate, and timely audit information is delivered to the supervisor, upper management or committees.
  • Assist the compliance officer with ad hoc reviews of products, services, systems and processes to ensure compliance.
  • Provide recommendations or assessments for corrective action or improvement to processes.
  • Provide assistance with compliance training.
  • Stay current on upcoming compliance changes and deadlines.
  • Assist in maintaining compliance and documentation with the Community Reinvestment Act.
  • Assist in writing policy and procedure.
  • Maintain record retention for the department.


  • Other duties and projects as assigned or required.
  • Attend training, seminars and courses designed to develop compliance knowledge including testing.


  • Experience in Business, Finance, Accounting, Economics or other related field or previous banking experience preferred.
  • Must be able to gain the ability to interpret policy manuals and government banking regulations (intermediate level preferred but not required)
  • Must maintain a high degree of confidentiality.
  • Must be dependable, trustworthy and willing to work as a member of a team while producing thorough and accurate work.
  • Must be an analytical thinker with attention to detail.
  • Must be able to multi-task, work under pressure and meet deadlines.
  • Must be able to work independently and as part of a team.
  • Must be able to follow the directions of the supervisor and others both orally and in writing.
  • Must be able to meet attendance and punctuality standards
  • Must be able to take initiative.
  • Must be able to travel on occasion.
  • Strong sense of customer service.


  • Must have excellent documentation, communication skills and writing skills and able to work and cooperate with supervisors, co- workers and customers.
  • Some banking or regulatory experience preferred.
  • Ability to perform basic arithmetic, as well as compute figures such as rate, ratio, and percent.
  • Ability to produce analytical reports and findings or ones own work.
  • Ability to type proficiently
  • Ability to use 10-key adding machine by touch.
  • Strong proficiency in PC applications, including MS Word and Excel.


This work is primarily sedentary and requires the following physical activities:

  • Sitting for long periods of time; occasional bending, squatting, kneeling, stooping; good finger dexterity and feeling; frequent repetitive motions; talking, hearing, and visual acuity.
  • Frequent lifting (up to 25 pounds of paper supplies or minor office equipment).


  • Normal office environment.


NOTE: The above statements are intended to describe the general nature and level of work performed by an employee in this position. These statements are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of employees in this position.