Sr. Compliance Analyst

3 weeks ago


San Diego, United States Axos Bank Full time

About This Job

Conduct compliance risk assessments, quality assurance reviews, compliance monitoring processes, and company-wide compliance training, covering high risk activities. Support business units compliance, marketing requests and regulatory change management and other duties as assigned.



Responsibilities:

  • Conducts compliance reviews, scheduled loan level documentation, transactional testing, risk assessments on lending products and services through focused and random sample basis
  • Prepares written reports detailing findings and recommendations for changes or enhancement to policies, procedures and work flow
  • Participate in touchpoint meetings with business unit leaders and communicate regulatory change management
  • Perform QA continuous monitoring of regulatory compliance through the data driven compliance reporting processes
  • Perform review and approval of marketing and advertising collateral items (i.e. Axos and third party) within established SLA's
  • Work directly with various business units and third parties to ensure risk assessments are completed in compliance with regulatory requirements and Axos policies.
  • Evaluate process maps, procedures, policies, and management directives for accuracy and completeness
  • Proactively identify, analyze, summarize and communicate improvements to compliance procedures and programs.


Requirements:

  • Bachelor's degree
  • 3+ years' in banking/mortgage banking/audit/regulatory compliance
  • 1+ year's of Consumer Lending Underwriting
  • Experience at loan level documentation review and transaction analysis Understanding of all lending compliance regulations
  • Understanding of banking regulatory, audit and compliance programs for deposit compliance as it relates to federally regulated banks


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