Compliance Analyst

2 months ago

Pontiac, United States Saxon Global Full time

Must Have:

  • ITGC testing experience
  • They want 2-5 years experience
  • Banking client experience

Notes from Manager:
  • Public accounting experience (right after or fresh) with 2 years ex is ok. Look at the top public accounting firms.
  • 4 years of experience working in Financial, Regulatory, Audit and Testing.
  • Role is oversight of compliance, Audits, and Regulatory risks.
  • Staff auditor level and GLBA experience. NOT a lead level but has the experience with testing.
  • Someone from the SOXexperience and ITGC world- must have SOX experience.
  • Risk and controls or sox- testing- IT sox testing for general controls - so she would like someone from the IT background so they understand the controls GTC controls.
  • Someone who knows what access and change management is critical.
  • CISSP certifications or working toward it is highly preferred.
  • Prefer one or more of the following certificates: CISA, CPA, CISSP, CISA
  • Testing experience and investigated mindset.

Compliance Analyst:-
The Compliance Analyst position provides oversight of compliance, audit and regulatory risk reviews and acts a primary point of contact for business units, Second Line of Defense, and management. This position is responsible for providing regulatory expertise to team members and business units, ensuring ownership and validation of the Technology Process Risk and Control library, and is responsible for issue and change management identification and remediation including those that result from implementation of new regulations.

Position Responsibilities:

Technology Risk Management

Ensure key regulatory, internal, and external audit timelines are met; Associated documents are reviewed and submitted in alignment with process parameters. Engage with lines of business to promptly remediate regulatory exam and internal/external audit findings. Perform risk analysis to determine level of risk to the bank and recommend action(s) to mitigate risk. Assist in the development and implementation of new risk management assessments/activities to address regulatory changes, E.g. GLBA risk assessment, and post issue remediation efforts to ensure root cause remediated. Present results of risk activities verbally and in writing to business unit(s) and third-party processors as required. Support completion of Second Line of Defense risk assessments within the First Line of Defense, including the Risk and Control Self-Assessment.

Policies, Processes, and Procedures

Monitor and interpret policies, processes and procedures for assigned business units and support with updates/changes as required pending change and issue remediation, new/enhanced regulations and controls. Recommend ways to enhance internal processes. Analyze and make recommendations on department policies, processes and procedures. Partner with the business unit(s) to ensure all processes and procedures are in compliance with policies and federal regulations.

Committees and Special Projects

Management of and/or participation in medium to large sized projects related to risk and compliance. Work collaboratively with business units and others on the implementation of new regulations. Represent the business on risk and compliance committees as assigned.

Training and Reporting

Develop subject matter expertise on FFIEC, NIST, ISO, and COBIT Act as a resource for business units; educate and train business unit(s) on risks impacting them or their third-party processors. Ensure risk related training requirements are properly communicated and completed.

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