Job Title: Compliance Analyst
Department: Compliance
Location: Pittsburgh, PA
Job Summary:
The Compliance Analyst serves in a support role in the execution of the Bank’s Compliance Management System for banking laws and regulations pertaining to lending and deposits compliance. The Compliance Analyst will have responsibilities assigned with a specific focus, such as compliance monitoring and testing or compliance training, with the expectation that they will assist in all areas as needed.
Primary Job Responsibilities:
- Assists with the overall implementation of the Bank’s Compliance Management System and with the ongoing administration of the Bank’s compliance risk management program
- Primary focus of position will be performing compliance activities related to fair lending.
- Assist with implementation of software platform for fair lending analysis.
- Development of and review of fair lending reports.
- Assist with recommendations for the Bank’s overall fair lending program, including participation in risk assessments, training, procedure review, monitoring and testing, policy, and program review; management reporting; regulatory change management; product development, etc.
- Performs monitoring and testing in support of the Bank’s Compliance Management System. Prepares analysis of the monitoring and testing results and prepares draft reports and make recommendations to Compliance Management for corrective action.
- Assists with the review of third-party and internal products, processes, policies and procedures, marketing programs, advertising materials and other consumer communications to identify applicable regulatory risks and related controls.
- Stays abreast of federal and state regulatory changes. Prepares analysis of such changes and make recommendations to Compliance Management. Assists Compliance Management in determining appropriate adjustments to the Bank’s compliance risk profile.
- Reports to Compliance Management on any suspected violations of law, regulations or non-compliance to Company policy and takes responsibility to ensure resolution.
- Maintains compliance related policies and procedures to ensure continued applicability and completeness. Assists with documenting compliance group procedures for the compliance management system. Works with department/group managers on department/group procedures that incorporate compliance requirement in the procedures.
- Serves as the primary contact for bank operations and business lines to ensure compliance related forms are reviewed and updated on a periodic basis.
- Maintains an issue tracking database for the Compliance Group, incorporating issues identified through examinations, audits, monitoring and testing, committee and working group meetings, customer complaints and direct communications with lines of business/operations.
- Assists Compliance Management with the Bank’s Community Reinvestment Act Program.
- Assist in preparing material and resources for regulatory examinations.
- Performs other compliance related duties as assigned by Compliance Management.
Education and Experience Requirements:
- Bachelor’s degree in business related field or equivalent years of experience
- Two to four years of progressive compliance and regulatory banking experience in lending and deposits
- Working knowledge of banking laws and regulations
Essential Skills and Abilities:
- Proficient technical writing skills are required – presenting ideas in a clear, concise, understandable, and organized manner.
- Proficient data compilation and analysis skills.
- Effective planning, organizational, time management, and problem-solving skills.
- Ability to work effectively under pressure. Flexibility and willingness to work at a rapid pace in strict time frames
- Skilled at handling a variety of assignments simultaneously
TriState Capital Bank provides equal employment opportunity and advance in employment to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law.
TriState Capital Bank is an Equal Opportunity Employer.
Job Title: Compliance Analyst (Monitoring and Testing)
Department: Compliance
Location: Pittsburgh, PA
Summary of the Position:
The Compliance Analyst serves in a support role in the execution of the Bank’s Compliance Management System for banking laws and regulations pertaining to lending and deposits compliance.
Primary Functions of the Position:
- Perform monitoring and testing in support of the Bank’s Compliance Management System. Prepare analysis of the monitoring and testing results, prepare draft reports and make recommendations to Compliance Management for corrective action.
- Assist with the review of third-party and internal products, processes, policies and procedures, marketing programs, advertising materials and other consumer communications to identify applicable regulatory risks and related controls.
- Assist in the overall implementation of the Bank’s Compliance Management System and in ongoing administration of the Bank’s compliance risk management program.
- Stay abreast of federal and state regulatory changes. Prepare analysis of such changes and make recommendations to Compliance Management. Assist Compliance Management in determining appropriate adjustments to the Bank’s compliance risk profile.
- Report to Compliance Management on any suspected violations of law, regulations or non-compliance to Company policy and take responsibility to ensure resolution.
- Assist in preparing material and resources for regulatory examinations.
- Maintain compliance related policies and procedures to ensure continued applicability and completeness.
- Assist in the development and administration of the Bank’s compliance training program, including materials, presentations, strategies, and initiatives.
- Assist Compliance Management with the Bank’s Community Reinvestment Act Program.
- Perform other compliance related duties as assigned by Compliance Management.
- Comply with all of the Bank’s internal control policies and procedures.
- Understand and comply with all laws and regulations to which the Bank is subject.
- Communicate problems in operations, noncompliance with the code of conduct, noncompliance with laws and regulations, policy violations, or illegal acts.
Education and Experience Requirements:
- Bachelor’s Degree in business related field or equivalent combination of education and experience
- Minimum of 2 to 4 years of progressive compliance and regulatory banking experience in lending and deposits. .
Essential Skills and Abilities:
- Working knowledge of banking laws and regulations.
- Proficient technical writing skills are required – presenting ideas in a clear, concise, understandable, and organized manner.
- Proficient data compilation and analysis skills.
- Effective planning, organizational, time management, and problem-solving skills.
- Ability to work effectively under pressure. Skilled at handling a variety of assignments simultaneously. Flexibility and willingness to work at a rapid pace in strict time frames.
- Keyboard and Windows-based applications (Microsoft Office) experience is required.
- Professional demeanor and appearance are necessary. Exhibit diplomacy and patience when dealing with co-workers and others.
- Ability to work independently and without direct or continuous supervisory support.
TriState Capital Bank provides equal employment opportunity and advance in employment to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law.
TriState Capital Bank is an Equal Opportunity Employer.
Job Title: Compliance Analyst (Training)
Department: Compliance
Location: Pittsburgh, PA
Summary of the Position:
The Compliance Analyst serves in a support role in the execution of the Bank’s Compliance Management System for banking laws and regulations pertaining to lending and deposits compliance. The Compliance Analyst will have responsibilities assigned with a specific focus, such as compliance monitoring and testing or compliance training, with the expectation that they will assist in all areas as needed.
Primary Functions of the Position:
- Assists with the overall implementation of the Bank’s Compliance Management System and with the ongoing administration of the Bank’s compliance risk management program
- Performs monitoring and testing in support of the Bank’s Compliance Management System. Prepares analysis of the monitoring and testing results and prepares draft reports and make recommendations to Compliance Management for corrective action
- Effectively executes the Bank’s compliance training platform by
- Developing department/job specific training plans
- Developing and maintaining employee profiles in the training platform
- Revising standard training modules to reflect Bank policies and procedures
- Working with department / group managers to develop custom training materials
- Developing and executing an annual calendar to incorporate requisite training into the calendar for all employees
- Monitoring training assignments to ensure that employees complete training in a timely manner
- Producing reports for audits, examinations, etc.
- Reviewing training platform courses to provide recommendations on training plans
- Assists with the review of third-party and internal products, processes, policies and procedures, marketing programs, advertising materials and other consumer communications to identify applicable regulatory risks and related controls
- Stays abreast of federal and state regulatory changes. Prepares analysis of such changes and make recommendations to Compliance Management. Assists Compliance Management in determining appropriate adjustments to the Bank’s compliance risk profile
- Reports to Compliance Management on any suspected violations of law, regulations or non-compliance to Company policy and takes responsibility to ensure resolution
- Maintains compliance related policies and procedures to ensure continued applicability and completeness. Assists with documenting compliance group procedures for the compliance management system. Works with department/group managers on department/group procedures that incorporate compliance requirement in the procedures
- Serves as the primary contact for bank operations and business lines to ensure compliance related forms are reviewed and updated on a periodic basis
- Maintains an issue tracking database for the Compliance Group, incorporating issues identified through examinations, audits, monitoring and testing, committee and working group meetings, customer complaints and direct communications with lines of business/operations
- Assists Compliance Management with the Bank’s Community Reinvestment Act Program
- Assist in preparing material and resources for regulatory examinations
- Performs other compliance related duties as assigned by Compliance Management
Education and Experience Requirements:
- Bachelor’s Degree in Business-related field, or equivalent years of experience
- 2-4 years of progressive compliance and regulatory banking experience in lending and deposits
- Working knowledge of banking laws and regulations
Essential Skills and Abilities:
- Proficient technical writing skills are required – presenting ideas in a clear, concise, understandable, and organized manner
- Proficient data compilation and analysis skills
- Effective planning, organizational, time management, and problem-solving skills
- Ability to work effectively under pressure. Flexibility and willingness to work at a rapid pace in strict time frames
- Skilled at handling a variety of assignments simultaneously
TriState Capital Bank provides equal employment opportunity and advance in employment to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law.
TriState Capital Bank is an Equal Opportunity Employer.
