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Fond du Lac Office


Under the direction of the VP Compliance, the Compliance Administrator will assist with various Compliance (including Bank Secrecy Act) functions including but not limited to: ensuring that all policies and procedures are implemented and well documented, reviewing, analyzing and preparing reports and documents, researching information, monitoring, testing and investigating BSA related transactions.  Through the monitoring process the Administrator provides an independent and objective opinion by measuring and evaluating the effectiveness of and adherence to financial, accounting, and operational policies, procedures and regulations.

Essential Functions and Responsibilities

  • Timely completion of all compliance monitoring assignments in accordance with the plan.
  • Review proposed and finalized regulations and supervisory agency guidance documents to determine effect on current bank related policies and/or procedures.
  • Conduct risk-based monitoring of controls by collecting and analyzing data to detect deficient controls, fraud or non-compliance with laws, regulations and management policies/procedures.              
  • Prepares reports outlining the scope of the compliance monitoring and its results and recommends corrective action as necessary. 
  • Completes the “Outstanding Compliance Issues Log” and performs follow-up testing as needed.
  • Acts as BSA (Bank Secrecy Act) Administrator.  Performs duties which may include but not be limited to: review account activity either manually or via BSA software solution, file Currency Transaction Reports, track Monetary Instrument Logs, complete Suspicious Activity Reports, monitor privately owned ATM and MSB customer activity, perform FinCen 314(a) searches, complete OFAC scans, assist in complete of OCC MLR and BSA/OFAC Risk Assessment and conduct follow up reviews as needed and directed by VP Compliance.
  • Monitor and submit funds, safe box contents, etc. from dormant accounts which need to be escheated to the State of Wisconsin.
  • Provide support to Internal Auditor as needed.
  • Perform other duties, responsibilities and activities, which may change or be assigned at any time with or without notice.

Skills and Abilities

  • Strong interpersonal, communication (written and verbal), organization and prioritization skills with the ability to work independently, as well as, collaboratively within a team environment and meet deadlines with minimal supervision. 
  • Knowledge of applicable banking and/or regulatory policies and procedures. 
  • Must possess strong decision making and analytical and investigative skills, with attention to detail and accuracy.  
  • Must have the ability to work in a high-stress, fast-paced and rapidly changing environment.   
  • Knowledge of applicable banking laws, in particular, BSA/AML.
  • Ability to be mobile in order to move to various departments to conduct compliance reviews.
  • Personal computer skills must include the proficient use of Microsoft Office (Word, Excel), FIS systems (Insight, Image Centre, Prime) and knowledge and ability to conduct internet searches.

Working Conditions

  • Normal office environment with minimal noise, temperature variation or dust. Length of work day is unpredictable, depending upon volume of business and department activities.
  • Periodic travel to branch offices and/or customer locations may be required.
  • May be required to stand for long periods of time.
  • Must be able to work independently, accurately and maintain good customer relations with the ability to adapt to varying customer and transactional volume.  Must be able to quickly re-establish priorities, responding to the changing needs of the department.
  • Manual dexterity skills for typing and use of computer and other related office systems and equipment.
  • Occasional lifting of up to 10 lbs. is required.
  • Occasional bending, reaching and stooping.
  • Frequent visual effort is required.  Up to 75-100% of the work day is spent at a computer monitor and/or with written or computer-generated paper documents.
  • Frequent sitting is required.

Training and Preparation

  • Bachelor’s degree in business, finance, or a related field or equivalent experience.
  • 2+ years of bank operations experience.
  • In-depth BSA and AML training offered through banking associates or other equivalent avenues.

Apply Online


Send Cover Letters and Résumés to:

Human Resources
National Exchange Bank & Trust
P.O. Box 988
Fond du Lac, WI 54936-0988

If you are interested in more information, please email us or call us at (920) 921-7700.

If you are an individual with disabilities and need assistance using this website to apply for employment, please contact Human Resources at (920) 921-7700.

We comply with the ADA and consider reasonable accommodation measures that may be necessary for eligible applicants/employees to perform essential functions.

National Exchange Bank & Trust is an equal opportunity employer of minorities, women, protected veterans and individuals with disabilities. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, status of protected veteran, or status as an individual with a disability.


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