Compliance Specialist II June 27, 2019

June 27, 2019, Plains Land Bank, Amarillo, TX


FLSA Status: Exempt

Full-Time, Including Medical, Dental, Vision, and 401K benefit options

Minimum Education and Experience Requirements

Bachelor’s degree in Accounting, Finance or Business Administration or comparable experience required. Two (2) years or more audit experience in public accounting and/or relevant industry internal audit experience. Professional certification (CPA or CIA) desired.

Job Purpose and Scope

Under the direction of Accounting Leadership, ensures ongoing Association compliance with FCA Regulations regarding Internal Control over External Financial Reporting (SOX). Serves as a liaison to internal/external auditors throughout the testing of financial controls and request made by auditors throughout the year. Ensures proper documentation of financial controls are in place for compliance with SOX 404 and the identification of process deficiencies and remediation. Stays abreast of changes in FCA regulations to ensure timely compliance with SOX sections 302 and 404. Performs additional special projects as needed maintaining professional objectivity and obtaining approval if necessary from the Audit Committees.

Essential Functions

  • Tests compliance with various association policies, procedures, practices and other regulatory requirements.
  • Performs various tests and verifications to ensure reliability of loan and related data, including, but not limited to; loan approvals, classifications, appraisals and valuations, pricing information and servicing actions.
  • Samples loans for risk rating accuracy. Checks lien perfections and accuracy of various accounting entries related to non-accrual loans.
  • Performs other tests to ensure compliance related to credit operations.
  • Performs tests to verify metrics used in determining incentive calculations and reports.

Skill Requirements

Possesses skills in assessing the effectiveness of internal controls over key risks, identifying significant exposures, analyzing transactions and information, and detecting changes in key risks and/or control effectiveness; has an in-depth knowledge of audit concepts and techniques, accounting principles, and regulatory agency (such as the Farm Credit Administration) guidelines, regulations and standards. In- depth knowledge of COSO 2013 framework. Working knowledge of PCAOB pronouncements applicable to Management’s Testing of Internal Controls over Financial Reporting. Ability to perform project management responsibilities, including managing multiple tasks in different areas of the Associations. Excellent written and oral communication skills. Solves complex problems and takes a new perspective on existing solutions. Possesses knowledge of the organization, processes and customers. Performs a range of assignments using prescribed guidelines or policies to analyze and resolve problems. Ability to use various audit tools, such as electronic work papers, risk assessment tools, process mapping, internal control questionnaires, financial estimation, analytical reviews, data analysis, visual observation and statistical sampling to perform audit procedures. Proficient in a Windows environment using various Microsoft Office products such as Word, Excel, Access, Internet Explorer, and other business software to prepare reports, memos, summaries, and analyses.

Working Relationships

Frequent interaction with all levels of Association employees and close contact with other members of the Association’s financial and accounting teams. Ability to work independently while receiving only minimal guidance. Ability to work effectively in a team environment and effectively demonstrate team building attitude and skills. May lead projects or project steps within a broader project or have accountability for ongoing activities or objectives.

To Apply

Send resumes to Sierra Blais,


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