Compliance Analyst - Regulatory Response Lead at Assurance
As a Compliance Analyst, you will be expected to:
- Promote a strong culture of ethics and compliance, with a customer-first approach;
- Serve as a trusted advisor to assigned business unit or function;
- Work independently on general assignments, projects, and complex tasks, under the direction of Compliance Manager or Director;
- Have some interaction with line management in correcting compliance problems;
- Possess sound knowledge of the principles practices concepts of the compliance discipline and apply them to your understanding of assigned functions;
- Exercise judgment and discretion in the process of identifying and resolving problems and issues;
- Provide training and training content to stakeholders for assigned functions;
- Support more senior staff on the oversight of assigned business unit or function;
- Leading and/or assisting with gathering documents and materials for regulatory responses;
- Tracking status of regulatory responses;
- Drafting regulatory responses;
- Critically evaluating materials provided by business lines.
- 5+ years in related areas in personal financial services, with a focus on banking/mortgage/personal finance compliance experience preferred.
- Strong written and verbal communication skills (this role will advise business management).
- General knowledge of regulations associated with the offering of the aligned product (mortgage, banking, personal finance, insurance, CMS, CFPB/state, etc.) and current industry issues.
- Associate’s degree.
- Effectively set objectives and balance competing priorities;
- Demonstrate openness to new ideas and seek opportunities to learn;
- Maintain professional skepticism in assessing appropriateness, objectivity and independence;
- Understand key business risks, marketplace and regulatory environment;
- Lead organizational transformation in areas of effectiveness and improvement;
- Think beyond a problem on its face;
- Be comfortable with ambiguity and has the dexterity to adjust as needed;
- Understand the complexities and nuances of a global environment;
- Seek to understand customer’s needs and challenges; and
- Collaborate in a fully inclusive and open manner.