Sr. Analyst, Regulatory Relations – State Compliance AnalystLegal Dallas, Texas
Job Family: Legal & Corporate Affairs
Responsible for assisting the Regulatory Relations Manager in SC’s state examinations. The Regulatory Relations Sr. Analyst works with the business operations to gather information for state examinations inquires. The Regulatory Relations Sr. Analyst will work both independently and also in conjunction with other members of the Regulatory Relations team and the Business Control Office (BCO) team.
Job Function: Corporate Governance
The Regulatory Relations Sr. Analyst will review and manage state examinations inquires. The Regulatory Relations Sr. Analyst will assist the Regulatory Relations Manager in a variety of duties including but not limited to data requests, validations, research, and business requests for support documentations.
Summary of Responsibilities:
Responsible for assisting the Regulatory Relations Manager in the execution of state examinations. Manage state examinations in adherence to the SC State Regulatory Examinations Procedures within the established timelines. S/he will work with the BCO team and a variety of stakeholders throughout SC.
- Works with management to determine scope of state examinations.
- Reviews a variety of documentation, analyze and assess methods and systems, and interviews personnel to obtain information on actual practice.
- Responsible for staying abreast of state regulatory issues and developments, evaluating impact on applicable exam, collaborating with various stakeholders on implementation and risk mitigation efforts.
- Compares practice with regulatory and internal requirements to identify variances.
- Aids in dissemination of reports regarding state examination findings and recommendations.
- Stays current on state regulations impacting company business.
- Communicates findings/concerns, both verbally and in writing, to management.
Acts as a subject matter expert (SME).
Other duties as assigned.
Education – Bachelor's Degree or equivalent work experience other.
Experience – 3-5 years’ of experience in one or more of the following: quality management, exam management, regulatory interactions and/or risk management.
Skills & Abilities – Candidate will need to develop a thorough understanding of Santander’s US operating entities, including their respective lines of business and corporate functions. Knowledge of applicable U.S. laws and regulations and financial services industry. Ability to work effectively and provide accurate information under tight timelines.
Strong interpersonal skills and proven ability to build and cultivate relationships across the Company.
- Collaboration – Relationship Management: Improves relationships between key individuals to achieve seamless cross-team work flow and positively impact results. Uses informal networks to gain support for ideas and projects.
- Collaboration – Teamwork: Leading and Guiding: Brings out the best in each team member by consistently motivating and acknowledging peer contributions. Understands and leverages team dynamics.
- Execution – Accountability: Fully accountable for timeliness, completeness, quality of reviews. Remains calm and focused on goals while facing pressures, obstacles or short-term setbacks.
- Execution – Initiative: Takes initiative to act on new information and preemptively develops options and plans of actions.
- Influence – Two-way Communication: Conveys difficult or complex information in an easy to understand manner, by providing the big picture and asks open-ended questions that encourage others to give their points of view.
- Problem Solving – Problem Identification: Reformulates the problem in different ways to evaluate it from different angles.
- Risk Management – Risk and Compliance Adherence: Appropriate knowledge of risk and the regulatory environment.
- Frequently: Minimal physical effort such as sitting, standing, and walking.
- 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.