Compliance QA Specialist III

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Position Summary

The Compliance Quality Assurance Specialist will lead Quality Assurance and Improvement Program ("QAIP") reviews and training initiatives across the compliance function. This position requires an individual with the education, experience, training and technical skill in auditing. Additional responsibilities include presentation of reviews to management and the Audit Committee.

Essential Duties and Responsibilities:

• Assist the Compliance Manager in performing the Simmons Bank Compliance Quality Assurance Group's QAIP to ensure general conformance to the internal standards.
• For quality assurance reviews selected throughout the year, perform detailed analysis of the appropriateness of scoping, assessment of risk, linking risk to business objectives, and supporting conclusions. The detailed analysis should be tied directly to the Standards and workpapers of the detailed reviews will be maintained.
• Prepare and present detailed, quarterly reports, as well as dashboard-style reports on the results of the quality assurance reviews, as part of the overall QAIP to the Regulatory and Consumer Affairs Committee.
• Develop and present specialized training for CQA Staff should development needs be identified during the performance of the quality assurance reviews.
• Assist the Compliance Manager in updating relevant policies and procedures.
• Provide over-flow assistance, should the need arise, to our compliance Staff .

Other Responsibilities:

• Pursues professional development opportunities, including external and internal training and professional association memberships and shares information gained with management.
• Assumes individual responsibility to learn all new technology introduced by the Bank as appropriate for Compliance.
• Prepares other reports and projects as requested from time to time by Managers, Directors or CCO
• Such other duties as may be assigned.

Career Track Guidelines:

• Performs all duties described above.
• Develop technical proficiency and competence.
• Work effectively as part of the Internal Audit team.
• Demonstrate an understanding of appropriate business etiquette, including proper dress and business correspondence.
• Seek to learn through training and individual study.
• Actively participate in department community involvement program.

Qualifications

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirement list below is representative of the knowledge, skill, and/or ability required.

Skills:

• Ability to read and interpret documents such as procedures manuals, general business correspondence and/or journals or government regulations.
• Ability to read, analyze and interpret financial reports and/or legal documents.
• Ability to write simple correspondence, routine reports and business correspondence.
• Ability to effectively present information in one-on-one and small group situations, to customers, clients and other employees in the organization.
• Ability to effectively present information to top management, public groups and/or board of directors or board committees.
• Ability to manage processes and personnel even if those activities and individuals are not directly accountable to the individual from an organizational standpoint.

Education and Experience:

• Bachelor's degree in Business Administration or Accounting preferred, and
• 5+ years of applicable work experience in Auditing
• Financial Institution experience preferred with strong knowledge of financial products and industry best practices and regulatory requirements

Certifications:

• CRCM or CIA certifications preferred.

Other Qualifications:

Equal Employment Opportunity Information: Simmons First National Corporation and its subsidiaries are committed to a policy of equal employment with respect to a person's race, color, religion, sex, ancestry, sexual orientation, gender identity, national origin, covered veterans, military status, physical or mental disability or any other legally protected classifications.