Compliance Analyst

3 months ago

Jacksonville, United States Triad Financial Services, Inc. Full time
Job DescriptionJob Description

Core Responsibilities of the job:

  • You will review & provide compliance guidance on current, upcoming regulations to ensure company compliance.
  • Develop and implement internal policies, procedures, controls, tests and training materials to meet regulatory standards.
  • Critically review all Originations and Servicing Line of Business (“LOB”) policies, procedures, controls and job aids, and work with the business units to modify first line controls to ensure compliance with regulatory requirements.
  • Conduct regular compliance audits and risk assessments to identify potential areas of compliance vulnerability.
  • Assist with the development and maintenance of key risk and compliance indicators (“KRIs”).
  • Prepare and maintain documentation of compliance activities such as complaints received or investigation outcomes.
  • Coordinate with different departments to ensure compliance protocols are being followed.
  • Provide training and guidance to staff on regulatory compliance matters.
  • Stay abreast of industry changes and update compliance protocols as necessary.
  • Liaise with regulatory bodies and manage any regulatory submissions or inquiries.
  • Monitor and report on compliance performance to senior management.
  • Perform root cause analysis and assist in the development and oversight of corrective action plans for resolution of systemic issues.
  • Analyze data to identify trends or areas for improvement in compliance processes.
  • Support the compliance team in managing the compliance hotline and responding to compliance inquiries and reports.
  • Participate in the creation and revision of company policies to ensure they align with legal and regulatory standards.
  • Collaborate with IT departments to ensure proper security measures are in place to protect sensitive data and ensure IT compliance.
  • Review marketing materials, contracts, and other documents to ensure they are in compliance with applicable laws and regulations.

Qualifications we would like to see from you:

  • Bachelor's degree in Finance, Accounting, Law, Business Administration, or a related field.
  • Minimum of three years of experience in compliance, risk management, or a similar role.
  • Comprehensive knowledge of industry standards and regulations (e.g., RESPA, Reg X, GLBA, Reg P, TILA, Reg Z, HMDA, The Dodd-Frank Act, UDAAP, etc.)
  • Proficiency with compliance software and risk assessment tools.
  • Strong analytical and problem-solving skills.
  • Excellent attention to detail and the ability to spot errors and inconsistencies.
  • Familiarity with conducting audits and writing audit reports.
  • Ability to understand legal guidance on laws and regulations from attorneys and translate that guidance into operational business requirements company processes, procedures and controls.
  • Exceptional communication skills, both written and verbal.
  • Strong organizational and project management skills.
  • Proactive in staying up to date with changes in laws and regulations affecting the industry.
  • Experience in developing and implementing compliance policies and procedures.
  • Ability to work collaboratively across departments and with all levels of management.
  • Ethical judgment and the ability to handle confidential information.
  • Certification in compliance (CRCM, CCEP, CAMS) is a plus.

Salary Range for this position is: $70,000.00 To $76,000.00 annually, based on professional experience, competencies and job-skills match. We offer multiple health/dental/vision plans that start on your first day of work. We have a 401k w/corp matching, 15 days of PTO, 7 Federal holidays, tuition reimbursement & more.

Visit us at www.triadfs.com to learn more about us, then reach out and let's talk about your future

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