COMPLIANCE ANALYST

The Compliance Analyst supports the Compliance Director in maintaining an effective Compliance Management System for the company. Assists with new applications; verifies information using various reputable sources.

Documents and logs ongoing due diligence, risk reviews and archives actions taken. Maintain CMS program reporting and documentation in a methodical and easy to follow manner. The position will support the Compliance Director with other administrative tasks and duties as needed.

Duties and Responsibilities include but are not limited to, the following:

COMMON CORE ROLES

• Complete Know Your Customer(KYC) checks of new company and affiliate applications and prepare reporting and company files.
• Perform periodic due diligence checks of existing partners and third parties; maintain documentation and logs; report finding to the compliance director.
• Monitor business partner activities, report any non-compliance with company policies and procedures.
• Carry out standardized control measures on a regular schedule; test, and document controls, identify control gaps and report results to the Compliance Director.
• Consult with functional departments to perform internal audits of controls and their documentation, including random sampling.
• Consult with functional departments to ensure that department level policies and procedures are current, consistent, and complete across the company.
• Perform special research, analysis, and projects as directed.
• Keep abreast of industry trends and regulatory matters that could impact the company.

ADDITIONAL RESPONSIBILITIES

• Provide an impeccable level of customer service to Clients and servicing companies.
• Meticulous and vigilant, with a keen attention to detail and ability to analyze high volume of data.
• Maintain a high degree of ethics and professionalism.
• Independent, diligent self-starter who is comfortable taking on a high level of responsibility.
• Strong communicator who listens effectively with a high level of verbal and written proficiency.
• Able to prioritize work independently and consistently achieve reporting deadlines.
• Perform daily duties in line with Client’s Information Security Policies and Procedures. Ensure that information Confidentiality, Integrity and Privacy is always maintained with processing information assets.

REQUIRED QUALIFICATIONS

• Minimum associate degree or higher is a plus.
• 2-4 years relevant experience in due diligence, operational risk assessment, audit, and/or compliance
• Some knowledge of Regulatory Compliance, such as BSA/AML obligations, Regulation E, TSR, UDAAP/UDAP and OFAC
• Proficient in business software, and Excel