Compliance and Process Management Lead JD Advantage

The Compliance and Process Management Lead supports the Commercial Banking Process and Compliance Manager by executing key components of the Division’s process governance and first-line compliance framework. This role is responsible for ensuring alignment between regulatory requirements, internal policies, business processes, and system workflows across the commercial lending lifecycle. The position focuses on the development, maintenance, and consistent application of procedures and process standards, as well as supporting compliance monitoring and control activities. It translates regulatory requirements, audit findings, and business needs into clear, actionable procedures and operational practices that promote consistency, documentation quality, and control adherence. The Lead plays a critical role in reinforcing execution discipline within the first line of defense, supporting consistent application of defined control points across intake (Credit Ready), closing (Clear to Close), and servicing activities. The role partners with Business Operations, Compliance, Risk, and other stakeholders to support alignment between process design, system workflows (including nCino), and user execution. This position provides day-to-day coordination of process updates, regulatory change implementation.

Education and Experience:

• Associate or bachelor’s degree preferred, or equivalent experience.
• 3+ years of experience in commercial banking, compliance, operations, or related field.
• Experience supporting process documentation, compliance execution, or audit activities preferred.
• Demonstrated ability to work with cross-functional teams and support process improvement initiatives.

Skills and Abilities:

• Working knowledge of banking regulations and their application within commercial lending.
• Understanding of the end-to-end commercial lending lifecycle.
• Ability to translate regulatory and policy requirements into clear procedures and operational workflows.
• Familiarity with process governance, documentation standards, and control frameworks.
• Experience with loan origination/workflow systems (nCino preferred).
• Strong attention to detail and documentation discipline.
• Ability to identify process inefficiencies, inconsistencies, and control gaps.
• Effective collaboration and communication across cross-functional teams.
• Ability to manage multiple priorities and support coordinated execution.
• Maintains confidentiality and handles sensitive information appropriately.

Tasks Performed:

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  35 % Procedure Development & Process Governance – Draft and maintain Commercial Banking procedures aligned with regulatory requirements, policy standards, and system workflows. Support standardization and consistency across processes and documentation practices. Partner with stakeholders to ensure procedures are practical, clear, and consistently applied. Maintain documentation to support audit and exam readiness.
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  25% Compliance Monitoring & Control Support – Support execution of monitoring and quality control activities. Identify trends, inconsistencies, and gaps and escalate as appropriate. Reinforce adherence to defined control points, documentation standards, and procedures.
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  20% Regulatory & Process Change Implementation – Support implementation of regulatory changes, audit findings, and internal improvements. Assist in translating requirements into procedures, workflows, and user guidance. Coordinate with stakeholders to ensure consistent adoption and execution.
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  15% Audit & Issue Resolution Support – Support internal audits and regulatory exams through documentation preparation and coordination. Track findings and assist in remediation efforts. Promote consistent documentation and support sustainable resolution of issues.
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  5% Other duties as assigned.

Physical Requirements:

• Communicate effectively with internal and/or external customers
• Stationary 75% of time or greater
• Move Objects to Maximum 10 lbs

Why Work at NBT

At NBT we empower people to grow, innovate, and thrive through meaningful work, a supportive culture and opportunities to make a real impact in your community – because your success drives our success.

Wellbeing

At NBT, we value and support your wellbeing by offering generous time-off policies, wellness initiatives and flexible work arrangements, so you can thrive both personally and professionally.

Community Involvement

NBT believes community involvement fosters our success and the success of those around us. Through volunteer service and charitable partnerships, we empower our employees to make a positive impact beyond the workplace.

Culture

NBT believes in creating a workplace where every voice matters and every team member feels empowered to contribute. With supportive leadership, we foster an environment where employees are connected, inspired, and valued.

Career Development

Whether you’re just starting your career or serve in a senior leadership role, your growth and development are our priority. NBT provides a wide variety of development programs and tools for you to reach your full potential.

Total Rewards

NBT recognizes and rewards your contributions with competitive compensation, comprehensive benefits and performance-based incentives – ensuring you feel valued every step of the way.

Business Stability

NBT has built a reputation as a stable financial institution by growing our people and our business, evolving our processes and managing risk. We’ve weathered the market’s ups and downs for over 165 years, all while charting a well-defined growth plan.

Benefits for Full-Time Employees:

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  Generous Paid Time Off: At least 22 days annually, prorated in the year of hire.

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  Parental Leave: Six weeks of paid leave at 100% of your salary.

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  Comprehensive Medical Coverage: Includes employer contributions to HSA for High Deductible Health Plan participants.

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  Dental and Vision Coverage: Ensuring your overall health and well-being.

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  Flexible Spending Accounts: For healthcare and dependent care expenses.

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  Employer-Paid Disability Coverage: Both short-term and long-term, with an option to purchase additional long-term coverage.

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  Life Insurance: Employer-paid basic life insurance, with an option to purchase supplemental coverage.

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  Voluntary Benefits: Including hospital, accident, and critical illness coverage.

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  Retirement Plans: Benefit from a 401(k) plan with employer matching, an optional Roth 401(k), and a pension plan to help secure your future.

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  Adoption Assistance: Supporting your growing family.

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  Tuition Reimbursement: Invest in your education and career growth.

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  Employee Assistance Program (EAP): Access to support and resources.

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  Pet Insurance: For all your furry friends.

• Financial and Banking Services: Various banking services benefits and financial planning assistance.

Benefits for Part-Time Employees Working 20+ Hours/Week:

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  Medical Coverage: Includes employer contributions to HSA for High Deductible Health Plan participants.

• 
  Dental and Vision Coverage: Ensuring your overall health and well-being.

• Voluntary Benefits: Including hospital, accident, and critical illness coverage.

• Generous Parental Leave: Six weeks of paid leave at 100% of your salary.

Benefits for All Part-Time Employees:

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  Retirement Plans: Benefit from a 401(k) plan with employer matching, an optional Roth 401(k), and a pension plan for employees who work at least 1,000 hours in a calendar year, all designed to help secure your future

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  Paid Sick and Safe Leave: For your health and safety.

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  Employee Assistance Program (EAP): Access to support and resources.

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  Financial and Banking Services: Various banking services benefits and financial planning assistance.

Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or assume sponsorship of an employment Visa at this time.