Compliance Analyst II


Posting Info

ID name: 34329   State: OH
Added to system: 8/4/17 3:56 PM   Zip Code: 45236
Location: Axcess Financial Services, Compliance Department- FOR0047   Zip Code 2:
Type of opening: Current Open/approved position   Zip Code 3:
District: Combs, Mathew   # of openings: 1
Company: Axcess Financial   Post job to CareerBuilder:
City: Cincinnati   Job Family: Professional/Knowledge worker

Description

General Function

Perform research and analysis of statutes, regulations, rules and “best practices” required for incorporation into company policies, procedures, processes and products.  Analyze state regulatory examinations and complaints and track required remediation.  Perform research projects to respond to requests for information from business partners.   Perform various projects assigned by the manager of the State Law & Licensing Team.  This position reports to the State Law & Licensing team manager.

  

Duties and Responsibilities

Perform research and analysis of statutes, regulations, rules and “best practices” required for incorporation into company policies, procedures, processes and products.

  • Maintainand update the state legal requirements governing our industry on  a state by state basis.
  • Review statutes, rules and regulations online using Lexis or other tools to determine changing requirements affecting operations.
  • Review alerts from CFSA, other industry sources and Government Affairs for changes in the law and regulation.  Determine how, if at all, changes might affect our operations and, as necessary prepare updates to the legal matrices.
  • Review regulatory websites to identify requirement changes affecting operations.
  • Work with the State Law & Licensing manager on publishing findings and / or changes to select internal departments.

 

Analyze state regulatory examinations and complaints and track required remediation. 

  • Develop and maintain a document repository of regulatory findings, exam report responses, fines, and enforcement actions, as well as complaints filed through regulators.
  • Analyze any findings from state regulatory examinations.  Investigate root cause of the finding and provide detailed overviews to the individual responding to the exam report.  Investigation may mean working with business partners, using business systems, and / or determining how business processes work.
  • Assist Counsel in drafting  responses to exam reports and complaints on an ad hoc basis. 
  • Track all state examination remediation required as a result of internal testing, audits, business self-identified issues, and exam reports. 
  • Communicate regularly with appropriate stakeholders and project owners to ensure progress of remediation. 
  • Provide reports to State Law & Licensing manager on the status of remediation projects.
  • Create reports and presentations summarizing exam findings, fees / fines / penalties, and remediation efforts for the General Counsel and the Compliance Committee.

 

Skills Description

Minimum Knowledge, Skills and Abilities Required:

Undergraduate 4-year degree in business related field required
JD or Paralegal certificate preferred.
Minimum 2-4 years of experience in an office setting, experience as a paralegal or compliance/legal analyst preferred.
Knowledge of consumer credit or state licensed lending is helpful. Knowledge of financial laws and regulations including TILA, FCRA, FDCPA, FCRA, ECOA is a plus.
Proficiency in Microsoft Office, including Excel/PowerPoint / Word / Outlook
Proficiency conducting internet and legal research
Strong oral & written communication skills
Strong project and time management skills. Ability to multi-task and prioritize ongoing


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