The Compliance Management Intern reports to an AVP of Compliance Management. The compliance management function generally refers to the compliance oversight of the Bank’s business lines, including its Strategic Partners (“SPs”). This function supports the Bank’s Compliance Management System (“CMS”) and the compliance management team to ensure effective compliance oversight all business lines and SP Programs.
- Administrative support, such as establishing and tracking deadlines, referring past due items to management for escalation, etc.
- Prepare and assemble periodic compliance reporting, including dashboard reports for management.
- Act as liaison between compliance personnel and other internal and external stakeholders.
- Reconciliation of compliance data, including training data, monitoring and testing data, and data within the Bank’s system of record.
- Retrieving, organizing, and distributing monthly reporting.
- Analyzing monthly reporting for compliance risks and trends.
- Maintain project-organization tool.
- Perform quality assurance reviews of documentation and reports to ensure compliance requests are satisfied.
- Assist in management of agency complaint process.
- Organizing and standardizing documentation (soft copies).
- Listen to and transcribe customer calls.
- Prepare and distribute approval forms.
- Assist with special research projects.
- Perform other tasks and projects as assigned.
- Complete annual regulatory compliance training assignments by their respective due dates.
Knowledge, Skills and Abilities:
- Ability to work in a fast-paced environment.
- Ability to analyze, manage and resolve complex issues with attention to detail.
- Ability to catch on to new concepts and learn quickly.
- Must have good people-management and interpersonal skills, including the ability to work well in a team or individually.
- Ability to read, analyze and interpret professional journals, technical procedures, governmental regulations, and legal documents.
- Assertive self-starter, with exceptional verbal and written skills, organized and able to work independently.
- Must be able to appropriately prioritize time, manage multiple tasks and work effectively under tight deadlines.
- Demonstrates high integrity and excellent judgment.
- Ability to utilize Microsoft Office and Outlook.
- Aptitude to learn new programs and complex systems.
Required Education / Experience / License:
- Working towards a bachelor’s degree in Business Administration, Finance, or related field; or equivalent related experience.
Preferred Education /Experience / License:
- Experience working in a bank or other financial institution.
Background check is required on all bank employees due to accessibility of Personally Identifiable Private Information.
FinWise is an equal opportunity employer and dedicated to diversity and inclusion in the workplace. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender identity, sexual orientation, age, marital status, pregnancy status, veteran status, or disability status.
FinWise provides reasonable accommodations to the known disabilities of individuals in compliance with the Americans with Disabilities Act. For accommodation information or if you need special accommodations to complete the application process, please contact the Department of Human Resource Management at (801) 545 – 6050.
Qualified applicants with criminal history and conviction records will be considered in accordance with legal requirements.