Sr. Compliance Analyst
3 weeks ago
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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