Overview

Job Family: Risk

Monitors data and databases to minimize the company's exposure to risk. Activities may include design, development, and implementation of information-based business solutions. 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 assisting all compliance groups to ensure 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: Compliance

Monitors data and databases to minimize the company's exposure to risk. Activities may include design, development, and implementation of information-based business solutions. 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 assisting compliance groups to ensure 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. Data Analyst, Compliance performs analytical research in support of the Compliance department. Sr. Data Analyst, Compliance will work closely with all compliance groups and other departments to ensure complete, consistent and accurate information is captured and reported in order to support the monitoring, measurement, and mitigation of compliance risk..

Essential Functions:

  • Responsible for production of Compliance MIS, ad-hoc analysis and KPIs/KRIs and performs analysis of the underlying data and highlights trends, issues and findings.
  • Performs comprehensive analysis of complex issues and organizational needs to identify areas of improvement and program efficiencies.
  • Support the implementation of new technology initiatives in order to enhance the Consumer Compliance data repositories, reporting, analytics and overall program.
  • Responsible for documentation of Compliance risk metrics and monitoring tools
  • Extracts, analyzes, and interprets data using tools like SQL, SAS, R, Tableau and applied statistical techniques to assist Compliance Department and relevant business units with actionable intelligence on compliance risk.   
  • Reviews data elements used in reports to identify issues and propose remediation.
  • Work with the business data stewards to capture business rules and provide data quality requirements.
  • Provides requisite information in support of independent audit activities.
  • Develops a thorough understanding of the firm’s operations, business practices, compliance monitoring and testing activities, and production systems

Other Functions:

  • Special projects as requested
  • Other duties as assigned

Requirements:

  • Education –
    • Bachelor's Degree: Computer Science, Engineering, Mathematics, Statistics, or other related field.
    • or equivalent work experience
  • Experience –
    • 3-5 years of progressively responsible experience in Reporting or Data Analysis is required.
  • Skills & Abilities –
    • Knowledge of data modeling, database design development, data mining, and segmentation techniques
    • Demonstrated ability to merge, concatenate, clean, and prepare extremely large datasets from multiple relational databases using SQL and ETL (Extract, Transform, and Load) tools.
    • Experience working within MIS/reporting, risk management and data management functions.
    • Strong working knowledge of MS Office Suite including MS Project.
    • Analytical, technical and problem solving skills, with strong attention to detail.
    • Strong written and verbal presentation skills and ability to communicate well with senior management with minimal guidance.
    • Strong collaboration, and time management skills.
    • Ability to adapt to various work environments and project schedules.
    • Ability to work effectively in a team environment with all levels of personnel.
    • Strategic and tactical thinker with ability to multitask and prioritize.
    • Prior experience in a similar data analyst role is preferred.
    • Additional knowledge of SAS and R is preferred.

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.