The Sr. 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 a primary focus on a specific regulatory area (consumer protection regulations), a compliance program pillar (monitoring/testing, training, regulatory change, policy/procedure), product (deposits/lending), or line of business. Additionally, the Compliance Analyst will assist in all areas as needed in support of the Bank’s Compliance Program.
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.
•Focus of the position may be to provide primary support for a key regulatory area such as privacy or fair lending; a specific compliance pillar such as training or monitoring and testing; or a specific product area such as support for the deposit products of the Bank.
•Performs reviews in support of the Bank’s Compliance Management System. Prepares analysis of review results, prepares draft reports, and makes 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 makes 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.
•Assist in preparing material and resources for regulatory examinations.
•Performs other compliance related duties as assigned by Compliance Management.
•Assists with the overall implementation of the Bank’s Compliance Management System and with the ongoingadministration of the Bank’s compliance risk management program.
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
•Privacy experience a plus
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.
• Privacy certification preferred but not required.
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.
