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Sr. Compliance Analyst
3 months ago
The Sr. Compliance Analyst will be responsible for overseeing the design and performance of the compliance monitoring activities performed by functional business areas and work with business partners to identify and address gaps of the ongoing review of everyday business activities to ensure that processes adhere to regulatory requirements and internal policies and procedures. Work with all consumer facing LOBs and the support functions, such as key process managers, Business Risk & Controls (BRC), and Compliance Advisory teams, as well as different levels of management and personnel across the organization to establish successful cross-functional collaboration, identify risks of non-compliance, and effectively communicate potential and confirmed control gaps to the leadership, which have been identified by monitoring results.
Responsibilities
- Lead the development, execution, and evolution of the compliance monitoring oversight program to ensure the organization adheres to the regulatory requirements.
- Coordinate centralized compliance oversight of the 1st line of defense monitoring efforts; assess and evaluate documented controls performance, identifying monitoring gaps and control deficiencies.
- Assist the LOBs with development and implementation of control monitoring plans for elevated compliance and regulatory risk areas.
- Analyze and promptly escalate potential gaps in compliance monitoring design or coverage and gaps identified through the monitoring program.
- Validate that compliance monitoring efforts are consistent across LOBs and with other compliance management system program elements and documented according to applicable policies and procedures.
- Maintain comprehensive documentation of the program elements in accordance with compliance monitoring standards.
- Design and uphold reporting to track 1st line's compliance monitoring efforts and results, determine the scope and frequency of such reporting.
- Assist with other compliance department projects and initiatives, including the risk assessments, testing, and advisory.
Education:
- Bachelors Degree - Business Admin, Finance, Legal or Related - Minimum
- Graduate Degree - Preferred
Years of Experience:
- 5 Years - Compliance, risk management or related - Minimum
In Lieu of Education:
- 8 years - Compliance, risk management or related
License/Certifications/Training:
- Preferred: Compliance and/or risk professional certifications (CRCM, CCEP, NCCO, etc.)
You will benefit from:
• Competitive medical, dental, and free vision benefits
• Paid parental leave
• Competitive compensation plan
• Gym memberships discounts
• Generous PTO and banking holidays off
• Tuition reimbursement
• 401k with immediate employer match and vesting
Adhere to and ensure compliance of all business transactions with policy and process of the Bank Secrecy Act. Ensures compliance with all applicable state and federal laws, company procedures and policies. Maintains integrity and ethics in all actions and conversations with or regarding credit union members and their accounts; complies with Privacy Act directives.
The responsibilities listed do not contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this position. Duties, responsibilities and activities may change at any time with or without notice.
