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.


  • 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.


  • Collaboration – Relationship Management:Proficient – Applying and ExecutingKnows who to reach out to inside and outside of one’s team to get work doneTakes action to enhance working relationships needed to achieve seamless work flow
  • Collaboration – Teamwork:Proficient – Applying and ExecutingCreates a good working environment in the team; works towards shared goals contributing ideas and accepting changeProvides assistance and coaches less experienced team members
  • Execution – Accountability:Proficient – Applying and ExecutingFollows through to meet commitments to othersTakes responsibility for achieving strong results, despite balancing multiple complex demands
  • Influence – Information Sharing:Proficient – Applying and ExecutingUses information and data effectively to support a position and present a rational case
  • Influence – Two-way communication:Proficient – Applying and ExecutingCommunicates in a timely and straightforward mannerProbes for additional information, clarifies assumptions and confirms agreed-upon actionsKeeps everyone involved informed about progress and issues
  • Risk Business Acumen – Industry Acumen:Proficient – Applying and ExecutingStays current with industry and regulatory trends and emerging risk issuesHas 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 ExecutingExecutes risk management process and procedures without management direction, and demonstrates awareness of expected resultsKnows the relationship and impact of actions and resultsHas an understanding of regulations impacting area supported
  • Risk Management – Risk and Compliance Adherence:Proficient – Applying and ExecutingCommunicates the importance and

benefits of risk management to counterpartsDisplays natural skepticism and curiosity to question the status quo and uncover issuesAdheres 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:

Job Title Default Restrict to Country

  • 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.