The Compliance Analyst will provide tactical and analytical support to the Compliance Department, assist with governance efforts and issue management, liaise with other departments, and develop subject-matter understanding of compliance and operational aspects of ACA policies, procedures, and practices under the supervision of a Compliance Manager.

Essential Functions

Compliance Governance Support

• Schedule, facilitate and track periodic meetings, approvals, and follow-ups for various governance bodies within the organization.  Maintain documentation, including meeting minutes and other information, relating to these activities.

Compliance Template Document Library Support

• Review, compile, and assist with development of customer facing template documentation.
• Schedule, facilitate and track meetings related to the review and approval of templates.
• Liaise with operating departments to ensure they are utilizing accurate and approved templates.
• Publish and decommission templates as requested.
• Assist with record keeping to document change management of templates.

Compliance Change Management

• Assist with the facilitation of the Risk Acceptance process.
• Assist with the facilitation of the Compliance Event process from input of event into Governance and Risk Management and Compliance Tool to remediation of event (as applicable).
• Develop, revise, and maintain Compliance Department policies and procedures.

Compliance Project Management

• Support various business, legal and compliance-driven projects and initiatives.
• Liaise with operating departments.

Compliance Support for Commercial Lending / Portfolio Transactions

• Perform certain due diligence relating to prospective clients and portfolios.
• Produce summary documentation for review by Compliance Officer and management to enable decision-making.
• Provide support in compiling summary documentation / due diligence of prospective account buyers.
• Assist with downstream / post-sale document production and other account level inquiries from account buyers.
• Other duties as assigned

Qualifications

• Bachelor’s degree or Associate’s degree with 1+ year(s) of applicable experience
• Excellent analytical skills
• Strong sense of organization
• Strong attention to detail
• Proficient in MS Office (specifically Outlook, Word, Excel and PowerPoint), Internet navigation and have the ability to learn new systems
• Excellent written and verbal communication skills with both internal and external parties

Physical Demands and Work Environment

Must be able to sit at a desk and work on a computer or on the phone as required, for extended periods of time.

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. Normal days and hours of work are Monday through Friday, 8:00 a.m. to 5 p.m. Hours may vary and exceed 40+ hours per week depending on business needs.  Hours may also be outside normal business hours and on weekends.

Travel

This position may require 5% travel.

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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