Senior Compliance Program Analyst

TITLE: SENIOR COMPLIANCE PROGRAM ANALYST
STATUS: EXEMPT
REPORTS TO: MANAGER - CORPORATE COMPLIANCE
DEPARTMENT: CORPORATE COMPLIANCE
JOB CODE: 11826

PAY RANGE: $101,600.00 - $110,000.00 ANNUALLY

GENERAL DESCRIPTION:

The Senior Compliance Program Analyst is a crucial position within the Corporate Compliance organization, reporting directly to the Compliance Program Senior Manager and is part of the Second Line of Defense (2LOD). This role is instrumental in assisting the management team in building and maintaining an effective enterprise-wide compliance program. The primary responsibility of the Senior Compliance Program Analyst is to support the strategy for ongoing compliance governance across the organization, which includes developing risk methodologies, oversight processes, tools, and data management systems. Additionally, this position emphasizes the development of innovative solutions utilizing Microsoft 365 applications, particularly SharePoint Online, PowerApps, PowerAutomate, and PowerBI. Preferred proficiency in SQL and SAS, along with knowledge of CSS and HTML, is essential for analyzing data and enhancing compliance processes.

This position has an opportunity to work in a dynamic and fast-paced environment, where the contributions will directly impact G1’s compliance posture and operational success of G1. Compliance Program is a 2LOD function providing support within Compliance organization and oversight for 1LOD functions where applicable.

TASKS, DUTIES, FUNCTIONS:

1. Design, develop and implement solutions to meet management and regulatory requirements.
2. Partner with Technology and third-party vendors on implementing the department’s tooling strategy to support adherence to regulatory requirements.  
3. Maintenance and enhancement of the Regulatory Development and Change Management process for G1.
4. Administer the annual Compliance Risk Assessment campaigns.
5. Partner with various stakeholders in creation of a mechanism to document compliance risk and control library.  
6. Building and executing upon an annual training plan based on the Risk Assessment results.
7. Maintain accurate and detailed compliance program documentation, ensuring easy retrieval and reference.
8. Assist the management team with partnering with ERM on compliance policy and vendor management.
9. Execute work to deliver timely, accurate, and efficient service for scheduled reporting processes to include scheduled committees and ad-hoc requests.
10. Gathers and formats data into regular and ad-hoc reports, and dashboards.
11. Works closely within Compliance to ensure harmony in approach to compliance matters and processes.
12. Foster a positive work environment by promoting skill development, coaching for improvement and growth.
13. May provide specialized support for other internal or external regulatory requirements.
14. Assists with management of regulatory examinations and internal audits.

PHYSICAL SKILLS, ABILITIES, AND EXERTION UTILIZED IN THE PERFORMANCE OF THESE TASK:

1. Effective oral and written communication skills required to prepare recommendations, perform analysis and accomplish other functions as required.

2. Must possess sufficient manual dexterity to skillfully operate an on-line computer terminal and other standard office equipment, such as financial calculators, personal computer, facsimile machine and telephone.

ORGANIZATIONAL CONTACTS & RELATIONSHIPS:

1. INTERNAL: All levels of management and staff.
2. EXTERNAL: Vendors and peer groups, legal counsel, regulators, vendors

QUALIFICATIONS:

1. EDUCATION: Bachelor’s degree in computer science, Information Technology, Data Science, Electrical Engineering or equivalent work experience.
2. EXPERIENCE:
   1. 7+ years of experience in risk management, identifying potential risks, building business requirements, escalating issues and implementing mitigation strategies to ensure success.
3. KNOWLEDGE / SKILLS:
   1. Preferred technical skills:
      1. Knowledge of compliance laws, rules, regulations
      2. Data analytics and/or data modeling.
      3. Developing solutions using Microsoft 365 applications, particularly SharePoint Online, PowerApps, PowerAutomate, and PowerBI.
      4. Proficiency in SQL, SAS, and knowledge of CSS, HTML
   2. Ability to follow direction on structuring ambiguous problems into clear work streams and drive to execution.
   3. Solid communication skills to effectively collaborate cross-functional teams and stakeholders.
   4. Organizational skills and ability to manage multiple contemporaneous matters.
   5. Growth mindset.
   6. Detail oriented
   7. Excellent judgment of priorities and high integrity.
   8. Strong foundation in credit union philosophy, member service and operational processes.
   9. Proficiency in Microsoft Word, Excel, and PowerPoint as well as Adobe Acrobat Pro and SharePoint.

PHYSICAL REQUIREMENTS:

1. Prolonged sitting throughout the workday with occasional mobility required.
2. Corrected vision within the normal range.
3. Hearing within normal range. A device to enhance hearing will be provided if needed.
4. Ability to lift 15 lbs. as may be required.
5. Occasional movements throughout the department daily to interact with staff, accomplish tasks, etc.

LICENSES / CERTIFICATIONS:

Certification preferred, but not required; Credit Union Compliance Expert (CUCE), NAFCU’s Certified Compliance Officer (NCCO), Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS).

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THIS JOB DESCRIPTION IN NO WAY STATES OR IMPLIES THAT THESE ARE THE ONLY DUTIES TO BE PERFORMED BY THIS EMPLOYEE. HE OR SHE WILL BE REQUIRED TO FOLLOW OTHER INSTRUCTIONS AND TO PERFORM OTHER DUTIES REQUESTED BY HIS OR HER SUPERVISOR THAT ARE WITHIN HIS / HER KNOWLEDGE, SKILL AND ABILITY AS WELL AS HIS / HER MENTAL AND PHYSICAL ABILITIES.