Compliance Analyst

Confidential Company  •  Dallas, TX

5 - 7 years experience  •  Staffing & Recruiting

$80K - $100K
Posted on 10/19/17 by Jose jaramillo
Confidential Company
Dallas, TX
5 - 7 years experience
Staffing & Recruiting
$80K - $100K
Posted on 10/19/17 Jose jaramillo


The Compliance Analyst IV is responsible for assisting the Director of Consumer Compliance in developing and monitoring Client business and compliance. This Compliance Analyst IV works with the Director of Consumer Compliance and the business operations to ensure the Company is operating in compliance with applicable laws and regulations as well as policies and procedures. This is achieved through coordinating and conducting detailed compliance examinations of company business and third-party servicers to ensure compliance with applicable laws, regulations and internal policies and procedures.

The Compliance Analyst IV will work both independently and also in conjunction withother Compliance Analysts and management. The Compliance Analyst IV is also responsible for working with operations, accounting and executive management to identify and analyze gaps and weaknesses in business processes, systems and ensure corrective actions are taken to mitigate any risk.


·        Assists in documenting and disseminating legal, regulatory and corporate policy requirements to department heads on a broad spectrum of topics including, but not limited to: FDCPA, GLBA, UDAAP, FCRA and FACTA, Global Privacy, BSA/AML/OFAC, ECOA (Reg B), TILA (Reg Z), FTC Credit Rules, E-Sign.

·        Responsible for staying abreast of regulatory issues and developments, evaluating impact on applicable exam, collaborating with Director of Consumer Compliance on implementation and risk mitigation efforts.

·        Works with management to determine scope and examination techniques required to assess the area of compliance. Contacts business management to identify areas needing review and to arrange examination steps and timetable;

·        Reviews a variety of documentation, examines methods and systems, and interviews personnel to obtain information on actual practice;

·        Compares practice with regulatory and internal requirements to identify variances;

·        Determines areas where corrective action is required;

·        Prepares written reports on examination findings and recommendations;

·        Performs compliance examinations independently as needed or in conjunction with variously assigned personnel, acting in a lead capacity;

·        Prepares and presents conclusions and recommendations to management;

·        Stays current on company policy and regulations impacting company business;

·        Revises regulatory policies and procedures with appropriate testing to ensure compliance across all business units.

·        Works with business units to ensure accurate and timely implementation of corrective actions.

·        Develops supplemental compliance training materials as needed for new and existing items.

·        Acts as a compliance liaison with the business to prioritize compliance changes.

·        Communicates findings/concerns, both verbally and in writing, to management.

·        Discusses and validates findings with management.


·        BA/BS degreerequired; equivalent combination of education & experience may be substituted in lieu of a degree.

·        Consumer and or regulatory compliance experience with a minimum of six (6) to eight (8) years working in a role/department as a compliance consultant in legal, compliance, examination or audit, preferably within finance services industry.

·        Minimum seven (7) years auto financeexperiencepreferred.

·        Minimum five (5) years’ experience in business process analysis preferred

·        Some degree of knowledge regarding the following regulations: FDCPA, GLBA, UDAAP, FCRA and FACTA, Global Privacy, BSA/AML/OFAC, ECOA (Reg B), TILA (Reg Z), FTC Credit Rules, E-Sign.

·        Ability to travel.

·        Ability to maintain confidentiality.

·        Solid proficiency in basic computer applications (MS Office, VISIO).

·        Must have excellent organizational, project management, and problem solving skills with a strong attention to detail.

·        Demonstrate proficiency in meeting established deadlines.

·        Experience working on multiple concurrent projects and under tight deadlines.

·        Must demonstrate the ability to work well with people from many different disciplines with varying degrees of knowledge.

·        Solid understanding of business practices.

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