Compliance Analyst - Exams, Complaints, and Issue Management

Job Description

Executes and maintains protocols and procedures to manage, respond to, and report on regulatory exams in both Canada and the US. Implements complaint management program including establishing clear roles and responsibilities for the business as the first line of defense, and compliance as the second. Implements and maintains an Issue Management Protocol to establish a uniform policy on Issue Management including documentation, remediation, and reporting.

• Proactively track incoming regulatory exams and outgoing responses to exam-related requests.
• Collaborate effectively with business stakeholders to ensure timely and complete responses to regulatory exam requests.
• Review draft findings from examiners with Compliance Leadership to align on whether or not the Company agrees with the examiner’s draft findings.
• Proactively partner with impacted stakeholders to implement management action plans to address any items identified during an examination.
• Work with all stakeholders with responsibility under the Complaints Management Policy to ensure a proactive and collaborative approach to complaints management including oversight of complaint responses and monitoring of complaint handling responsibilities
• Track complaint data to ensure that the impacted parties are actively addressing the root cause of complaints to demonstrate the Company’s commitment to responding to consumer complaints and improving the customer experience.
• Implement and maintain a uniform Issue Management Program and procedures to ensure a uniform approach to all regulatory-related issues including documentation in system of record, a uniform remediation protocol, and appropriate reporting and escalation procedures.
• Proactively monitor stakeholders and their compliance with documented responsibilities under the Issue Management program including, but not limited to, timely logging of all regulatory issues into the system of record and uniform remediation efforts when applicable.
• Collaborate with multiple stakeholders not only within the business to ensure up-to-date knowledge of the business plans and adapt exam, issue, and complaint management processes to meet the changing needs of the business.

Qualifications

• Bachelor’s degree preferred and/or 3 years’ experience in related field

• 3 years’ experience in various compliance operations and familiar with Federal AML, BSA, and OFAC regulations

• Strong organizational, communication, and project management skills required
• Excellent written and verbal communication skills.
• Demonstrated ability to provide deep-dive analysis
• Demonstrated ability to maintain discretion
• Knowledge of AML regulations
• Ability to adapt to change within the business and regulatory environment
• Ability to collaborate with multiple stakeholders within the business and the Compliance Team
• Solutions-oriented approach to problem-solving

Additional Information

We invest in our employees, and offer extensive training, and development programs to set you up for future success. If we sound like a fit and you’re ready to start an exciting career with an organization that encourages employee growth, apply today! We look for bright, energetic, motivated individuals who are interested in learning and developing their career.All your information will be kept confidential according to EEO guidelines.