Summary/Objective
The Operations Compliance Analyst will serve as the LOB representative, responsible for overseeing the review, response, and resolution of all items related to compliance, audit, legal and regulatory items. This role will partner with Legal, Compliance, and Operations leaders to consider state and federal regulations, evaluate risk, and make strategic recommendations for systematic and process updates.
Essential Functions
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
•Develop and maintain an in depth understanding of operations policies, procedures, and guidelines.
•Work alongside key internal and external partners to serve as the LOB representative for matters related to compliance, audit, legal and regulatory items
•Oversee the review, response and resolution of outstanding items related to compliance and audit findings
•Perform root cause analysis of opportunities identified by findings and produce actionable takeaways to resolve findings and mitigate risk
•Gather and analyze data as requested by internal and external partners for audit or regulatory exams
•Work alongside compliance and legal to understand risks and make appropriate recommendations for policy and procedure edits or additions to business leaders
•Provide weekly status updates of pipeline of the program and its initiatives and related tasks
•Facilitate collaboration meetings to ensure that policies and procedures have applicable approvals and alignment with compliance policies
•Champion to ensure new changes to company policies and procedures are communicated consistently and partner with training and process owners to track implementation
•Partner with process owners throughout the organization to assist in writing procedures
•Analyze cross-functional processes resulting in compliance reviews
•Other tasks as assigned
Qualifications
•2+ years of experience in financial services company preferred
•Bachelor's degree preferred
•Advanced proficiency in MS office (Outlook, Word, Excel, PowerPoint), internet navigation, and an ability to learn new systems
•Able to maintain confidence of sensitive information
•Excellent analytical skills, strong sense of organization, and an ability to communicate clearly with internal and external parties at various levels
•Communicating clearly and concisely to individuals from various backgrounds
•Familiarity with root cause analysis methods
•Ability to work in a fast paced, entrepreneurial environment
•Ability to work independently or in a group
•Ability to prioritize and manage multiple responsibilities
•Flexibility and openness to change
•Influencing others in both verbal and written medium
We will not sponsor applicants for work visas for this position.
Supervisory Responsibility
This position has no supervisory responsibilities.
Work Environment and Physical Demands
This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines.
Position Type/Expected Hours of Work
This is a full-time position with a work schedule of Monday-Friday with some schedule variations as needed.
Travel
No travel is expected for this position
EEO Statement
ACA provides equal employment opportunities (EEO) to all applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, marital status, amnesty, or status as a covered veteran in accordance with applicable federal, state and local laws. ACA complies with applicable state and local laws governing non-discrimination in employment in every location in which the company has facilities.
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.
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