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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Other
3-4 yrs required
Compliance Analyst The candidate will ensure that the companys actions meet the standards of the state and federal laws and regulations. Will be responsible in making the company compliant not only with local, federal, and state laws, but also with the company policies and procedures. Examinations and reviews of various laws and regulations which may also include compliance staff training. Analyze, advise and communicate new/amended laws or regulations to management. Analyze regulatory changes and the impact those changes will have on the company. Analyze existing processes and procedures to determine gaps. Lead any compliance initiatives necessary in implementing changes. Maintain good working relationship with Branch Managers and serve as a liaison between Compliance and management. Oversee the efforts of risk areas in the development and implementation of policies, procedures and processes to minimize compliance risks. Plan, develop, and execute compliance reviews, from scope to final product with minimal management involvement. Analyze findings, make recommendations and communicate the findings and recommendations to various levels of management. Prepare formal written reports and track any issues to completion. Complete and maintain adequate work papers to support findings. Determine emerging compliance risks using a proactive approach and forward thinking analysis.
Qualification and Experience
The candidate should have high School Diploma or GED. Excellent verbal and written communication and interpersonal skills and the ability to communicate and interact with all levels of management is essential. Ability to demonstrate and be recognized as having strong knowledge and leadership skills is essential. Good working knowledge of standard software applications such as Microsoft Office is essential. 1-3 years of Financial Services compliance experience is preferred. 3-4 years of industry experience is preferred. Bachelors degree in business- or law-related field or equivalent education or related training is preferred. In-depth compliance knowledge of one or more of the following: BSA/AML, lending, privacy, fair lending or compliance risk management is preferred.
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