Compliance Analyst/CoordinatorEssential Functions: Performs compliance examinations independently as needed or in conjunction with variously assigned personnelCreate testing scripts and conduct fieldwork (review of policies and procedures and perform transactional testing) Hold weekly meetings with the LOB during testing to clarify processes and present results of testingWorks with management to determine scope and examination techniques required to assess the area of complianceReviews a variety of documentation, examines methods and systems, and interviews personnel to obtain information on actual practiceCompares practice with regulatory and internal requirements to identify variancesDetermines areas where corrective action is requiredPrepares written reports on examination findings and recommendationsPrepares and presents conclusions and recommendations to managementCommunicates potential issues, both verbally and in writing, to managementSome degree of knowledge regarding regulations such as: FDCPA, GLBA, UDAAP, FCRA and FACTA, BSA/AML/OFAC, ECOA (Reg B), TILA (Reg Z), E-Sign, SCRA, Reg MMust Haves:3-5 years of experience Audit/TestingBanking experienceAbility to perform fieldwork transactional testingExperience developing test scriptsAbility to prepare written findings/recommendations/reportsNice to Have:- Regulatory knowledge of applicable bank regulations
