Regulatory Consumer Compliance Analyst

2 weeks ago

Wichita, United States Equity Bank Full time
Responsibilities and Expectations As a key second line of defense, the Compliance Monitoring Analyst ensures a strong, enterprise-wide compliance culture by regulatory compliance monitoring activities under the direction of the Sr Compliance Officer to validate Equity Bank’s adherence to applicable laws and regulations.
  • Lead and participate on compliance review engagements, from planning to reporting, and produce quality deliverables to both department and professional standards, while ensuring the reviews are completed timely.
  • Document monitoring activities accurately, thoroughly, and according to department standards that clearly communicate the objective, scope, and supports conclusions of test findings.
  • Finalize findings identified from the compliance reviews and use judgment to provide an overall opinion on the control environment by developing recommendations to strengthen internal controls
  • Prepares effective communication reporting with minimal direction of Sr Compliance Officer to summarize findings, including root cause analysis and identifies opportunities for additional automated or system controls to assist in providing more automated controls.
  • Verify the implementation of remediation plans submitted by issue owners to verify that issues identified during monitoring are remediated and fully address the root cause.
  • Performs follow up for the completion of action plans for issues identified in monitoring activities to ensure completion is within target date timeframes. This includes following up for monthly status updates from action plan owners and updating the status in GRC tool.
  • Maintain working knowledge of consumer compliance rules and regulations and their impact on products, services and operations including impact on testing
  • Build and maintain strong relationships with key stakeholders and team members.
  • Assist in conducting risk assessments of banking laws and regulations in support of a risk-focused compliance monitoring and testing framework.
  • Recognize the confidential nature of Risk and Compliance communications and access to information; exercise discipline in protecting the confidentiality and security of information in accordance with firm policy
  • Perform other duties as assigned or required.
Required Skills & Education
  • Bachelor's degree (or relevant financial services experience)
  • Experience with internal audit methodology and applying concepts in audit delivery and execution
  • Solid understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner
  • Knowledge of applicable laws and regulatory requirements related to consumer compliance
  • Strong interpersonal and influencing skills, with the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex and sensitive issues to senior management
  • Excellent written and verbal communication skills
  • Detail oriented, with ability to complete reporting and analytics accurately, timely, and in a presentable manner
  • Self-motivated, going beyond immediate responsibilities, with ability to work independently as well as be a team player
  • Eager to learn new things in a fast-paced environment
  • Ability to work in structured and unstructured environments while focusing on big picture objectives among day-to-day responsibilities
The above statements are intended to generally describe the nature and level of work to be performed by most people assigned to this job. It is not intended as an exhaustive list of all responsibilities, duties, and requirements. Who we areEquity Bank, a full-service, $5 billion community bank, is based in Wichita, Kansas, with 70 bank offices throughout Kansas, Missouri, Arkansas, and Oklahoma.

At Equity Bank, you can find exciting opportunities to challenge you, expand your skills, and reward your contributions. Our employees receive competitive compensation and benefits, while working in an atmosphere that encourages personal and professional growth. We’re searching for motivated individuals who are passionate about serving others, learning new technologies, and working as part of a team.

Equity Bank offers a full range of financial solutions, including online and mobile banking, commercial loans, consumer banking, and mortgage loans, treasury management service, the best solutions for your business, and absolutely zero ATM fees, anywhere. What’s in it for you?We believe your benefits are an important part of your overall compensation package.  We work year-round to ensure that we provide our employees with the most up-to-date, competitive program.  We thoroughly evaluate our benefit plans and strive to provide quality benefits that support the physical and financial well-being of our employees and their families.Benefits Available:
  • Health, Dental & Vision Insurance
  • Group Life & Long-Term Disability Insurance
  • Flexible Spending & Health Savings Accounts
  • Group Cancer Insurance
  • (K) Retirement Plan w/ Company Match
  • Generous Vacation & Sick Time
  • Employee Stock Purchase Plan (ESPP)
  • Pet Insurance
  • Retail Banking Benefits

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