Senior Compliance Analyst
2 weeks ago
Senior Compliance Analyst - Due Diligence page is loaded
Senior Compliance Analyst - Due Diligence
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locations
San Antonio, TX
time type
Full time
posted on
Posted 3 Days Ago
job requisition id
R0011438
SWBC is seeking a talented individual to be responsible for supporting the client due diligence response process. This position interfaces directly with the sales teams, clients, and executive management and requires a highly motivated individual with the ability to develop and maintain positive working relationships. This position is an excellent growth opportunity for an individual to expand their knowledge of SWBC products and services, build networking skills across SWBC product lines, and to gain experience interfacing directly with clients to support their due diligence requests.
Why you'll love this role:
In this role, you will be working with some of the top business professionals in the financial services industry in a growth-mode environment. As part of this team, you will work closely with SWBC stakeholders at all levels and be supported by a strong team of leaders that recognizes that empowerment, autonomy, work-life balance, professional development, continuous improvement, and a commitment to shared values are key enablers of our success. We work hard, take care of each other, and deliver positive outcomes daily.
Essential duties include the following:
Acts as the main point of contact for the receipt and fulfillment of client, regulator, and vendor requests for due diligence materials to support third-party review of SWBC.
Tracks and prioritizes requests for follow-up and coordinates with sales and process owners to ensure the timely fulfillment.
Receives and processes compliance general due diligence questionnaires and document requests from inception through delivery of finished request.
Works with different business lines (PEO, Life Insurance, Investment Services, and all Financial Institutions product teams to fulfill due diligence requests.
Reviews and analyzes client, vendor, or regulatory requests, coordinates with the appropriate internal experts to respond and request supporting documentation if required.
Receives requests and sends general due diligence packages.
Identifies and determines the type of request (RFI, RFP, Annual Due Diligence) and the products involved (Payments, collections, LPO, etc.) and accommodate responses accordingly.
Manages and updates Compliance Due Diligence Logs and establishes delivery dates for the client, based on prioritization of the different requests.
Monitors and follows up with requested information from multiple parties.
Responsible for recording documentation delivered to the financial institutions.
Prioritizes workload to meet SLAs negotiated with the business lines.
Communicates and meets with account managers, sales personnel, HR, corporate security, and outside parties to complete requests, all the while fostering and maintaining professional relationships with all contacts.
Provides support to the Director of Compliance Governance & Client Due Diligence in the furtherance of the client due diligence process.
Supports Compliance personnel and any projects generated.
Works independently with third-party vendors to obtain and provide updated statements for yearly third-party due diligence packages.
Works independently with SWBC stakeholders to update annual due diligence packages.
Follows up on client questions generated by due diligence package, investigates and responds in a timely manner.
Helps drive continuous improvement in program effectiveness, updates policy documents, presentations, and compliance support materials.
In response to IT Security incident questions and SWBC Regulatory Compliance questions received from clients, tracks and works with SWBC partners such as IT and Compliance leaders to prepare SWBC statements regarding IT security incident questions or communication of regulatory updates to clients.
Coordinates with integrated technology partners to compile annual due diligence packages for common clients.
Serious candidates will possess the minimum qualifications:
Bachelor's degree from an accredited four-year college or university preferred. Business experience may be considered as a degree alternative.
Minimum of four (4) years of compliance, vendor management, account management, client services or operations experience and/or due diligence experience in a financial institution environment required.
Experience with information gathering portals and SalesForce.
Strong technical aptitude and working knowledge of Microsoft applications.
Knowledge of SWBC's products and associated technologies that support those products preferred.
Able to communicate and interact effectively in verbal and written communications with various organizations and peers to process requests timely.
Able to manage priorities and deadlines.
Detail-oriented and have strong organizational and project management skills.
History of consistently producing accurate and high-quality work.
Able to effectively manage competing priorities with compressed timelines in a demanding environment.
Cross-functional collaborator with ability to develop and maintain positive working relationships.
Self-motivated, self-starting creative thinker.
Able to conducts all work in an ethical, honest, professional, and confidential manner.
Ability and willingness to take on additional responsibilities.
Able to work with all levels of the organization and with SWBC clients.
Advanced administrative skills to track and manage multiple requests of varying complexity.
Able to travel locally.
Sit for long periods of time performing sedentary activities.
SWBC offers*:
Competitive overall compensation package
Work/Life balance
Employee engagement activities and recognition awards
Years of Service awards
Career enhancement and growth opportunities
Emerging Professionals and Mentor Program
Continuing education and career certifications
Variety of healthcare coverage options
Traditional and Roth 401(k) retirement plans
Lucrative Wellness Program
*Based upon employee eligibility
Additional Information:
SWBC is a Substance-Free Workplace and requires pre-employment drug testing.
Please note, SWBC does not hire tobacco users as allowed by law.
To learn more about SWBC, visit our website at www.SWBC.com. If interested, please click the appropriate apply button.
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