Compliance Quality Assurance Officer - Location or Hybrid Remote

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Job Summary
Under the general direction of the Compliance Risk and Monitoring Manager and/or the assigned CQA Team Lead: Executes assigned compliance monitoring programs and offers feedback to enhance monitoring programs as needed. Maintains a level of regulatory knowledge pertinent to monitoring programs assigned through research and concurrence with CQA Team Lead or the Compliance Risk and Monitoring Manager. Works with the business line/entity to develop a solid working relationship to ensure monitor programs are aligned with their current processes. Conducts root cause analysis of exceptions, resulting in the creation of viable and effective recommendations, for discussion with the CQA team lead and/or Compliance Risk and Monitoring Manager. Ensures all work is supported by facts, that is properly documented and retained.

Job Accountabilities

  • Execute and maintain a risk-based monitoring program for the areas(s) assigned to ensure compliance with related federal and state financial services regulations. Complete programs within budgeted hours with an explanation for any variances.
  • Continue to enhance knowledge of regulatory requirements in assigned areas and keep abreast of regulatory changes and/or new laws and regulations.
  • Research regulatory questions and seek concurrence of team lead and/or manager prior to communication with business line/entity.
  • Document work and ensure all issues are fully supported.
  • Conduct research and root cause analysis of exceptions and seek concurrence of team lead and/or manager in the course of developing issues requiring action by business line management.
  • Assist team lead as needed; could include active participation in communications (verbal and written) with business line management and/or second level review of monitoring.


  • Bachelor's Degree or equivalent combination of education and experience Accounting, Audit, Bank Operations, Finance, Business, Law Required

  • 2-4 years External/internal audit, compliance or regulatory examination experience or equivalent experience in banking operations with an emphasis on regulatory compliance issues Required

Compliance Statement
Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR. Responsible to report ethical concerns as needed to Associated's anonymous Ethics Hotline.

Associated Bank is committed to working diligently with any colleague who needs an accommodation perform the essential functions of the job. Please contact the Leaves & Accommodations office to request an accommodation.

Remote within the Associated Bank footprint