Compliance Specialist jobs in Abilene, TX

SUMMARY
The Compliance & Internal Audit Specialist is responsible for working with the Chief Compliance 
Officer and the Internal Audit Manager as directed by assists in the implementation and 
administration of the Bank Secrecy Act compliance program, financial, operational, and lending 
audits for the Bank, and assisting in conducting risks assessments. The position examines the 
accuracy and completeness of records and procedures for internal control to safeguard Bank assets 
and ensures areas of the Bank are in compliance with policies, procedures, and all related laws, 
rules and regulations.
ESSENTIAL DUTIES
1.  Assists the Internal Audit Manager as directed by conducting financial, operational, and 
lending audits for the Bank.

2.  Examines the accuracy and completeness of records and procedures for internal control to 
safeguard Bank assets and ensures areas of the Bank are in compliance with policies, procedures, 
and all related laws, rules and regulations.

3. Reports audit findings to the Internal Audit Manager and makes recommendations to mitigate risk.
4.  Works closely with the Chief Compliance Officer and the Internal Audit Manager and makes best 
practice recommendations with respect to Bank operations, financial accounting, and internal 
control.

5. Assists the Chief Compliance Officer in conducting risk assessments and reviews.
6.  May be asked to investigate unusual or complex problems or situations and provides 
recommendations or solutions.

7.  Assumes responsibility for assisting in implementing, maintaining, and monitoring the Bank’s 
Bank Secrecy Act compliance program to ensure conformity and adherence with all applicable state 
and federal laws and regulations.
8.  Performs various quality control reviews and monitoring pertaining to the Bank Secrecy Act, USA 
Patriot Act, Anti-Money Laundering Program, OFAC, Customer Due Diligence, and Customer 
Identification Program compliance using industry standard and regulatory guidance to ensure the 
bank’s compliance efforts are maintained on a daily basis.

9.  Assists in special projects and tasks for the department of a diverse nature under the 
direction of the Internal Audit Manager.

10. Responds to inquiries and refers issues to the appropriate department or person and exhibits 
the necessary follow through with customers and/or staff involved.

11. Takes appropriate training to gain knowledge and awareness of financial industry audit control 
and trends.
12. Prepares a variety of routine tasks and special reports as required.

13. Follows policies and procedures; completes administrative tasks correctly and on time; supports 
the Bank’s goals and values; and benefits the Bank through outside activities.
14. Some travel and overnight stays may be required for training or audit purposes.

15. Treats people with respect; keeps commitments; inspires the trust of others; works ethically 
and with integrity; upholds organizational values; and accepts responsibility for own actions.
16. Demonstrates knowledge of and adherence to Equal Employment Opportunity (EEO) policy; shows 
respect and sensitivity for cultural differences; educates others on the value of diversity; 
promotes working environment free of harassment of any type; and builds a diverse workforce and 
supports affirmative action.

17. Assures compliance with all Bank policies, procedures and processes, and all applicable state 
and federal banking laws, rules and regulations, and adheres to Bank Secrecy Act (BSA) 
responsibilities that are specific to the position.
18. Completes administrative tasks correctly and on time; supports the Bank’s goals and values; and 
benefits the Bank through outside activities.

19. Performs the position safely, without endangering the health or safety to themselves or others 
and will be expected to report potentially unsafe conditions. The employee shall comply with 
occupational safety and health standards and all rules, regulations and orders issued pursuant to 
the OSHA Act of 1970, which are applicable to one’s own actions and conduct.
SECONDARY DUTIES
The position of Compliance & Internal Audit Specialist performs duties specific to the position and 
other functions as
assigned.

SUPERVISORY RESPONSIBILITY
The position of Compliance & Internal Audit Specialist is not responsible for the supervision of 
any employee(s).
ENVIRONMENT AND PHYSICAL ACTIVITY
The incumbent in the course of performing this position spends time writing, typing, speaking, 
listening, lifting (up to 30 pounds), driving, carrying, seeing (such as close, color and 
peripheral vision, depth perception and adjusted focus), sitting, pulling, walking, standing, 
squatting, kneeling and reaching.

The incumbent for this position may operate any or all of the following: telephone, smart phone, 
copy and fax machines, adding machine (calculator), check protector, scanner and image systems, 
scanning equipment, encoder, money counter, credit card terminal, typewriter, computer terminal, 
laptop computer, personal computer, tablet, printers, or other equipment as directed.

The work environment characteristics described here are representative of those an employee 
encounters while performing the essential functions of this job.

The physical demands described here are representative of those that must be met by an employee to 
successfully perform the essential functions of this job.

Reasonable accommodations may be made to enable individuals with disabilities to perform the 
essential functions.
MENTAL DEMANDS
The incumbent in this position must be able to accommodate to reading documents or instruments, 
detailed work,  verbal communication, written communication, analytical reasoning,
 training others, multiple concurrent tasks and constant interruptions.