Job Title: Sr Compliance Monitoring Analyst
Status:Exempt
Reports to: Sr Manager - Compliance Testing and Monitoring
Department: Corporate Compliance
Job Code: 11899
Pay Range: $103,000.00 - $115,000.00 Annually
Location: Hybrid in Sacramento CA
WHAT YOU'LL DO:- Monitor and oversee the continuous development of the 1LOD Monitoring Program.
- Leads risk-based compliance reviews, focusing compliance risk assessment results, regulatory adherence, internal policy compliance, and operational risk mitigation.
- Develop and implement continuous monitoring Compliance QA tests, analyze results to identify trends/anomalies, provide feedback and suggestions on potential process enhancements to improve business unit compliance.
- Responsible for continuous development, monitoring and reporting of the Credit Union's Consumer Protection Test Question Library and utilization by responsible Business Units.
- Oversee reported Business Unit first line monitoring of complex, high risk regulations, challenge reported results to ensure regulatory concerns are appropriately identified, tracked, and resolved in accordance with the Business Unit First Line Standardization Guideline.
- Active participation in annual and ongoing risk assessment campaigns including complex risk areas, providing effective check & challenge to 1LOD teams.
- Develop reports for Committees and Senior Management as directed.
- Promote compliance awareness across the organization by establishing and maintaining relationships with key business line analysts and functional stakeholders.
- Independently design and timely prepare various reports such as Key Performance Indicators, time tracking, etc. in accordance with department standards.
- Maintain a thorough understanding of state and federal laws and regulations related to credit union compliance including bank secrecy and anti-money laundering laws appropriate to the position.
- Report findings and issues to senior leadership and assist with corrective actions when required.
- Performs all other related duties as assigned.
QUALIFICIATIONS AND PREFERENCES:- Bachelor's Degree or equivalent work experience required
- 7+ years Financial Services experience in consumer protection regulatory compliance, internal audit, external audit, financial services operations, or consumer protection compliance program development/evaluation required
Please view the full job description detailing the complete list of duties and expectations for this role by clicking or copying this URL into your browser: https://golden1.jdxpert.com/ShowJob.aspx?EntityID=2&id=2476
