Vacancy expired!
DescriptionAt a high level, listed below are a few of the many functions performed the Senior Analyst.
Reporting
Aggregate all GLBA risks across SC. Create departmental reporting on GLBA and CCPA KRIs/KPIs.
Complete statistical/trend analysis on raw data and reports.
Keep leadership abreast of red flags items that are identified.
GLBA Support
Provide updated weekly reporting on all work under the direction of senior advisors as a support/backup person on all areas of GLBA.
Work with leadership to monitor and track KPI/KRIs for the organization.
Job Family: RiskMonitors activities to minimize the company's exposure to risk. Activities may include quantitative analysis, risk identification and remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.Job Function: ComplianceMonitors activities to minimize the company's exposure to risk. Activities may include quantitative analysis, risk identification and remediation. Represents or supports the representation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.Summary of Responsibilities:The Sr. Analyst, Compliance performs ongoing in-depth compliance analyses and reviews to determine overall compliance with all compliance requirements and best practice recommendations.Essential Functions:
Performs research, analyzes relevant compliance-related information and makes recommendations on necessary procedural/control changes on more complex compliance matters.
Assists with the planning, execution/gathering documentation and reporting of audits/security assessments.
Supports management in the day-to-day efforts related to compliance with laws, rules, regulations and related policies.
Researches regulations by reviewing regulatory bulletins and other sources of information.
Maintains rapport with regulatory personnel by arranging continuing contacts; resolving concerns.
Prepares reports by collecting, analyzing, and summarizing information.
Identifies and reports on changing trends in methods used by fraud perpetrators.
Maintains quality service by establishing and enforcing organization standards.
Assists with the development, implementation and maintenance of Compliance controls.
Partners with various lines of business to ensure compliance with all consumer compliance laws, regulations and provide ongoing regulatory guidance.
Reviews existing compliance controls for regulatory updates and performs the necessary gap analysis.
Creates and maintains various internal and external audit and compliance schedules.
Assists with conducting risk assessments on business and operational processes, procedures, and policies; analyzes results and makes recommendations on the adequacy and reliability of controls.
Prioritizes and controls projects based on severity of risk and non-compliance.
Communicates control strengths and weaknesses to internal audit and compliance and collaborates with internal audit to develop migration plans.
Assists in the design and enhancement of internal controls to facilitate auditing process.
Assists in the design of audit/compliance programs to ensure ongoing evaluation and validation of control effectiveness.
Other Functions:
Other duties as assigned.
Requirements:
Education -
Bachelor's Degree: Business, Finance, or equivalent field.
or equivalent work experience
Experience -
3-5 years Compliance, Legal, Regulatory, or Financial Services.
Skills & Abilities -
Practical knowledge of corporate regulatory requirements, and factors influencing the business in which the Corporation operates.
Demonstrated practical and theoretical knowledge of risk and compliance principles, concepts and policies.
Strong quantitative capabilities and analytical skills, including an investigative mindset.
Strong problem solving and critical thinking skills.
Strong MS Office (Excel, PowerPoint, Word, Visio, and Outlook) skills.
Strong verbal and written communication skills.
Ability to build and foster internal relationships.
Strong organizational and time management skills.
Ability to analyze risk and provide recommendations and/or resolutions to minimize risk.
Ability to summarize, document, and communicate information in a clear and concise manner.
Ability to organize and prioritize multiple tasks to meet deadlines.
Ability to work independently as well as collaboratively within a team environment.
Ability to interpret, analyze and apply data/information.
Ability to stay abreast of industry best practices, procedures, and techniques.
Ability to change direction as project demand dictates.
Ability to effectively and clearly communicate instructions to others, summarize and articulate issues, and document findings in a clear and concise manner.
Competencies:
Collaboration - Relationship Management:
Proficient - Applying and Executing
Knows who to reach out to inside and outside of one’s team to get work done
Takes action to enhance working relationships needed to achieve seamless work flow
Collaboration - Teamwork:
Proficient - Applying and Executing
Creates a good working environment in the team; works towards shared goals contributing ideas and accepting change
Provides assistance and coaches less experienced team members
Execution - Accountability:
Proficient - Applying and Executing
Follows through to meet commitments to others
Takes responsibility for achieving strong results, despite balancing multiple complex demands
Influence - Information Sharing:
Proficient - Applying and Executing
Uses information and data effectively to support a position and present a rational case
Influence - Two-way communication:
Proficient - Applying and Executing
Communicates in a timely and straightforward manner
Probes for additional information, clarifies assumptions and confirms agreed-upon actions
Keeps everyone involved informed about progress and issues
Risk Business Acumen - Industry Acumen:
Proficient - Applying and Executing
Stays current with industry and regulatory trends and emerging risk issues
Has good understanding of current market and competitive landscape that the organization operates within
Risk Management - Knowledge of Risk Management Policies, Regulations, Processes and Procedures:
Proficient - Applying and Executing
Executes risk management process and procedures without management direction, and demonstrates awareness of expected results
Knows the relationship and impact of actions and results
Has an understanding of regulations impacting area supported
Risk Management - Risk and Compliance Adherence:
Proficient - Applying and Executing
Communicates the importance and benefits of risk management to counterparts
Displays natural skepticism and curiosity to question the status quo and uncover issues
Adheres to a good root cause analysis process
Working Conditions:
Frequently: Minimal physical effort such as sitting, standing, and walking.
Occasional moving and lifting of equipment and furniture is required to support onsite and offsite meeting setup and teardown.
Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.
Employer’s Rights:
This job description does not list all the duties of the job. You may be asked by your supervisors or managers to perform other duties. You will be evaluated in part based upon your performance of the tasks listed in this job description.
The employer has the right to revise this job description at any time. This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.
AN EQUAL OPPORTUNITY EMPLOYER M/F/Vet/Disabled/SO
Vacancy expired!