Compliance Specialist III

It's fun to work in a company where people truly BELIEVE in what they're doing! We're committed to bringing passion and customer focus to the business. The Compliance Specialist III works directly with a Compliance Manager to meet the requirements of the assigned regulatory area of the Compliance Management Program which includes researching, reviewing, and interpreting existing/ pending laws and regulations as well as performing compliance reviews over the Wealth Management area. Essential Duties and Responsibilities Researches, reviews, and interprets existing and pending laws and regulations. Performs compliance reviews of the Wealth Management area of the bank. Assists the compliance manager in establishing and modifying standards, policies, and procedures for Compliance. Tracks and follows-up on outstanding issues identified in compliance reviews. Performs follow-up testing on issues after implementation of a corrective action by a business unit. Provides ongoing assistance and support to the compliance manager in administrative responsibilities. Ensures that all departmental documents and activities are performed in compliance with applicable laws, regulations, policies and procedures as applicable to this position. Works with other areas of Compliance as needed to cross-train and assist in performing reviews outside of Wealth Management. Performs other duties and responsibilities as assigned. Qualifications To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Skills Ability to read and comprehend simple instructions, short correspondence, and memos. Ability to read and interpret documents such as procedure 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-to-business correspondence and routine reports. Ability to foster positive working relationships with business units while simultaneously reviewing and potentially providing criticism of the unit's policies, procedures, and/or practices. Ability to effectively speak and present information in one-on-one and small group situations, to other employees in the organization. Education and/or Experience BS/BA Degree (4 year) from an accredited university/college or two to four years’ experience in equivalent compliance position required. CRCM certificate, Wealth Management certification(s) including (but not limited to) CTFA, CRSP, CFIRS, or three years of experience in Wealth Management compliance. Computer Skills MS Word, Excel, PowerPoint, SharePoint, and Database programs Other Qualifications (including physical requirements) Must have good time management and organizational skills. Must have excellent oral and written communication skills. Must have good problem solving skills. Must have the ability to read, analyze, and interpret government regulations, trade journals, and legal documents. Must have the ability to effectively respond to common inquiries from associates and internal audit groups. 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. Simmons First National Corporation and its subsidiaries are committed to Affirmative Action Programs consisting of results-oriented procedures to ensure equal employment opportunities. These programs require positive action in lieu of neutral non-discrimination and merit hiring/performance policies. Since 1903, we’ve been putting people first by making a commitment to you. Simmons Bank is the subsidiary bank for Simmons First National Corporation (NASDAQ: SFNC), a publicly traded bank holding company headquartered in Pine Bluff, Arkansas. Founded as a community bank, Simmons Bank has grown steadily to its current size of $27 billion in assets (as of November 1, 2022), with more than 3,200 associates located in Arkansas, Kansas, Missouri, Oklahoma, Tennessee and Texas. Our growth has led to some amazing career opportunities, while our dynamic culture has been recognized by publications across our footprint. Parallel to our growth, Simmons Bank’s community roots run deep – these are felt in the ways we seek to go the extra mile for our customers and communities through exceptional service and volunteerism, and in the strong career growth opportunities and wellness programs we offer associates. Our team is characterized by collaboration, integrity and passion for all we do, high performance, and a commitment to personal and professional growth. If these cornerstones of company culture appeal to you, let’s talk! There’s never been a better time to join our team.