Careers At Axiom Bank
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Compliance Specialist

Department: Compliance
Location: Maitland, FL

At Axiom Bank, you will be part of a diverse team in an environment that promotes collaboration, accountability, respect, and high ethical standards. We encourage you to aim for the sky and leverage your expertise and passion to excel. You’ll also have opportunities to help improve the communities we have been serving since 1963. Axiom Bank is a growing, dynamic organization – this is an exciting time to get on board!

General Responsibilities

The Compliance Specialist is responsible for functional segments of the Bank’s Compliance program, conducting, evaluating and reporting of financial institution activity to determine the adequacy and effectiveness of internal controls and compliance with existing bank policies, procedures and regulatory requirements. The incumbent will devote significant time to ensuring compliance programs meet all applicable laws and regulations. Monitor and follow-up on outstanding compliance issues and ensure timely resolution. Collaborate with management and staff in areas affected by changes in products, systems, vendors or personnel to ensure ongoing compliance, and to effectuate understanding and implementation of new policies and procedures.

Key Responsibilities and Accountabilities

The Compliance Specialist Key Accountabilities include, but are not limited to the following:

  • Assist in designing, maintaining and administering a documented internal compliance monitoring program including but not limited to: the scope of each review, procedures to be performed, transaction testing, forms review, a frequency schedule, staff responsibilities, management reporting and exception tracking
  • Review company policies, procedures and practices to ensure compliance with state and federal laws and regulations
  • Assist in reviewing, creating, and implementing or assisting with updating and implementation of Bank forms and disclosures
  • Remain current with changes to state and federal banking laws and regulations affecting the management, operations, and product offerings of the Bank
  • Partner with departments to ensure adherence to laws and regulations regarding new or revised products and services offered by the Bank.
  • Participate in the Enterprise Compliance Risk Assessment (ECRA) process to ensure the appropriate compliance regulations and laws are followed, respond to or escalate inquiries as appropriate
  • Support the development and implementation of the ECRA Risk Policies, Procedures and Methodologies as well as the ECRA Framework
  • Review and assess risk associated with business, product and vendor changes
  • Assist with the preparation of annual risk assessments for all compliance-related areas of the Bank
  • Monitor, follow-up and track the resolution of risk and control matters through the use of corrective action plans and effectively escalating issues in a timely manner in accordance with the program policies and procedures
  • Work with branches and departments to implement procedural and program changes in response to regulatory changes
  • Evaluate business line vendors using the vendor risk management tools, policies and processes to determine and ensure each vendor’s activity is conducted in compliance with applicable laws and regulations and are compliant with the policies that are to be expected if Axiom Bank were conducting the activities directly
  • Review marketing initiatives, campaigns, advertisements and other internal and external published materials created by the business lines and marketing to ensure compliance with associated compliance laws and regulations
  • Support communication channels and forums to appropriately escalate regulatory risks and issues across the enterprise
  • Develop and oversee appropriate regulatory compliance policies, processes and systems to meet regulatory expectations and protect the interests of Axiom Bank
  • Assist with the maintenance of the Bank’s CRA program, including but not limited to data collection, data tracking, reporting and disclosure requirements.
  • Assist with the design, revisions and implementation of Compliance Training programs.
  • Maintain bank confidentiality as it pertains to all functions of the bank.

Supervision of Personnel

  • None

Working Conditions

  • This position is performed in a regular office work environment. The incumbent will be expected to be able to work Monday through Friday and work will mainly be performed at the Maitland location; occasional evening and weekend work may be required. Flexibility with work location and hours may be granted if circumstances permit.

Travel

  •  0 to 25% 

Qualifications Summary

Education

  • Bachelor’s Degree in Accounting or Business or equivalent work experience.

Experience

  • Minimum 3-5 years of banking or other financial institution experience with at least 3 years of experience in Regulatory Compliance Activities.

Knowledge & Skills:

  • In-depth knowledge of government and consumer laws and regulations
  • Thorough knowledge of U.S. Bank operations, products, and policies as well as applicable regulations
  • Demonstrated ability to work independently and think critically
  • Must be able to prioritize work and effectively manage time and have the ability to manage change
  • Strong verbal and written communication skills
  • Ability to research and manage multiple projects and deadlines simultaneously
  • Detailed and task oriented
  • Ability to apply organizational skills in a wide variety of areas

Other Duties - Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.

(Reasonable accommodations may be made to enable individuals with disabilities to perform these tasks. If you need an accommodation, please contact us at hr@axiombanking.com)

Supporting communities. Improving lives. Working together toward your future.  

At Axiom Bank® we believe in working together for a brighter future. Through our environment of collaboration and camaraderie, we offer a uniquely fun and rewarding place to develop your career. Axiom Bank is headquartered in Central Florida and has 24 branch locations, with 22 branches located inside select Walmart Supercenters®.

Working in our Branches: Our innovative in-store branch model makes working at Axiom Bank unlike any other traditional banking institution. Set in a retail environment, our bankers are empowered to engage with customers, developing relationships that improve lives and strengthen communities.   

We believe in the value of promoting a healthy work/life balance and are committed to recognizing the role everyone plays in our ongoing success through competitive benefits, as well as the guidance you need to learn new skills and shape our business and future. We proudly offer the following benefits to our Full Time Employees:

  • 11 Paid Holidays
  • Generous Paid Time Off
  • Matching 401(k)
  • Medical, Dental and Vision Benefits
  • Company Paid Life, AD&D Insurance, Plus 100% Company Paid Short and Long Term Disability

In order to provide equal employment and advancement opportunities to all individuals, employment decisions at Axiom Bank are based on merit, qualifications, and abilities. Axiom Bank does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national origin, age, disability, sexual orientation, gender identity, genetic information, protected Veteran status, or any other characteristic protected by law.

Legal authorization to work in the US is required.  We will not sponsor individuals for employment visas, now or in the future, for this job opening.

Axiom Bank will make reasonable accommodations for qualified individuals with known disabilities unless doing so would result in an undue hardship.

It is the policy of Axiom Bank to conduct background, credit reference and drug screening tests as a condition of employment. Drug Free Workplace. EOE/AA/Minority, Female, Disabled, Veteran.

Eligibility Requirements:

All applications for employment must be submitted through the Axiom Bank Job board,  https://axiombanking.com to be considered.

  • You must be 18 years or older
  • You must have a high school diploma or equivalent
  • You must be willing to take a drug test and submit to a background investigation as part of the selection process

If currently an Axiom Bank employee, you must have been in your current position for a minimum of 1 year, have at least a "consistently meets expectations" performance rating and have the approval of your manager to post or the approval of your manager and HR to apply if you don't meet the time-in-job performance requirement.  

Axiom Bank is not seeking assistance or accepting unsolicited resumes from search firms for employment or contractor opportunities. All resumes submitted by search firms to any employee at Axiom Bank via e-mail, the Internet, or directly to hiring managers in any form without valid written search agreement executed by an Authorized Officer at Axiom Bank for that specific position will be deemed the sole property of Axiom Bank and no fee will be paid in the event the candidate is hired as a result of the referral or through other means. 

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