Compliance Testing Analyst

4 days ago

Louisville, United States Republic Bank & Trust Company Full time

“Republic Bank believes in the development and advancement of our associates. We offer the opportunity to learn all aspects of the company to prepare for future advancement. Come join our team for a career, not just a job“

Grade 7

About Republic Bank

Republic Bank’s values are built upon making an IMPACT for our clients, our associates and the communities we serve. (IMPACT stands for Innovate for the Future, Make it Easy, Provide Exceptional Service, Acknowledge & Celebrate Success, Commit to Caring and Thrive Together) The associates of Republic Bank are the key to our success as an organization and we value our associates. It’s one of the reasons we’ve been named as one of the Best Places to Work in Kentucky for the last seven years For more information about the company, please visit www.republicbank.com.

POSITION PURPOSE AND OBJECTIVES:
The Compliance Testing Analyst is responsible for monitoring compliance with all applicable federal and state regulations and statutes for various areas of the Bank and responsible for any assigned area of specialty. This position will utilize Compliance Management System procedures to document standardized compliance reviews. Additionally, this position will provide support, as needed, to compliance management.

Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.

MINIMUM QUALIFICATIONS:
  • Bachelor’s degree or equivalent experience required.
  • Minimum 1 year of banking experience required.
  • Previous experience with regulatory and legal research required.
  • Demonstrated ability in Word, Excel, and Internet applications required.
  • Previous auditing or compliance testing experience required.
ESSENTIAL JOB FUNCTIONS AND RESPONSIBILITIES:
  • Evaluate review objective, scope risks, and develop test plans.
  • Developing testing documentation and work papers that effectively document the completion of test steps.
  • Conduct periodic compliance reviews that evaluate the design and effectiveness of control environments, as well as confirming compliance with regulatory requirements.
  • During reviews, evaluate the sufficiency of existing monitoring and controls for key risks. Where appropriate, provide recommendations on procedures, and enhancements and/or validation of monitoring and results for ongoing monitoring, in consultation with Compliance Management.
  • Prepare reports and issue tracking documentation that clearly communicate testing conclusions to departments and senior management.
  • Provide assistance to departments in reviewing potential findings, including root cause analysis and impacts, in consultation with Compliance Management.
  • Communicate review findings to Compliance Management and Compliance Advisory Team.
  • Review management’s response and corrective action for open issues and confirm issue closure, in consultation with Compliance Management.
  • Conduct follow-up reviews of corrective action plans as necessary to ensure recommendations were implemented appropriately.
  • Conduct change management reviews of new products, processes, and initiatives for compliance with applicable federal and state regulations, statutes, and guidance.
  • Manages review assignments ensuring work is produced to the required standard and meets deadlines.
  • Create and maintain relationships with applicable Business Units, Audit, and Legal to be able to confer as necessary.
  • Conduct Compliance Key Risk Indicators analysis and evaluate responses, as needed, based on Compliance Review results.
  • Review Bank policies and procedures to help ensure they are up-to-date, complete, and meet regulatory expectations.
  • Develop thorough understanding of procedures for all areas of responsibility.
  • Develop and maintain knowledge of all compliance regulations within assigned area of specialty.
  • Assist Compliance Management in gathering documentation and preparing examination materials as needed.
  • Maintain a working knowledge of compliance requirements affecting your position and area of responsibilities and actively learn new regulations and assist in the implementation, if required.
  • Model and foster behaviors that support the Bank’s values and corporate culture creating an atmosphere of trust, cooperation, accountability, and dedication to the organization.
  • Willingly perform all other duties and projects as assigned.
INTERPERSONAL SKILLS AND COMPETENCIES REQUIRED:
  • Must have a highly developed work ethic including self-motivation, time management, and organizational skills.
  • Must be able to manage multiple projects at once.
  • Must be detail oriented.
  • Must approach tasks with a sense of urgency and adhere to assigned deadlines.
  • Must have effective communication (written and verbal) skills to adequately convey reports, findings, etc. related to job function.

PHYSICAL REQUIREMENTS:
The physical demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this position, the associate is regularly required to sit, use hands to finger, handle, or feel; and talk or hear. The associate frequently is required to stand or walk. The associate is occasionally required to reach with hands and arms. The associate must occasionally lift and/or move 10 pounds. Specific vision abilities required by this position include close vision, and distance vision. The noise level in the work environment is usually moderate.

OTHER REQUIREMENTS:
  • Travel between Republic Banking facilities is required.
  • Occasional out-of-town travel may be required.
  • Flexible work schedule that will include some evenings and weekends.
  • Stay abreast of new developments, best practices, and statutory and regulatory changes.

**The above is intended to describe the general content of and requirements for the performance of this position. It is not construed as an exhaustive statement of duties, responsibilities, or requirements.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)

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