Compliance Quality Assurance Analyst
New
J
JobgetherFinancial Services
Based in the United StatesFull-TimeMiddle
Salary$83,889.29 to $142,611.79
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Job Details
- Experience
- Approximately 5 years of directly related experience
- Required Skills
- ComplianceQuality Assurance
Requirements
- Bachelor’s degree or equivalent in a relevant discipline.
- Approximately 5 years of directly related experience.
- At least 5 years of relevant experience within diversified financial services (regulatory, legal, audit, lending, compliance, or operations).
- Experience leading, supporting, or coordinating audits and/or regulatory examinations.
- Strong understanding of Enterprise Risk Management frameworks, risk appetite, and risk assessment methodologies.
- Proven experience with compliance testing, quality assurance, and issue remediation.
- Excellent analytical, problem-solving, organizational, and decision-making abilities.
- Exceptional written and verbal communication skills.
- Strong stakeholder management skills with experience working with leadership and external auditors.
- Proficiency with business software and information technology tools.
- Ability to prioritize competing responsibilities independently in a remote environment.
- Ability and willingness to travel domestically up to approximately 10% annually.
Responsibilities
- Collaborate with compliance leadership to design, implement, and maintain quality assurance programs.
- Monitor regulatory developments and assess their potential impact on the organization.
- Coordinate audit and regulatory examination activities, including facilitating communications with examiners.
- Conduct comprehensive compliance risk assessments, including evaluating historical issues and identifying industry-specific risks.
- Develop and maintain risk assessment methodologies, metrics, and documentation standards.
- Analyze assessment results and develop risk matrices to communicate findings to stakeholders.
- Create and maintain quality assurance testing plans, including sampling approaches and assessment criteria.
- Perform independent testing of material rules and regulations to validate control design and operating effectiveness.
- Support the development and implementation of corrective action plans for compliance deficiencies.
- Prepare accurate management reports outlining testing activities, findings, and recommended improvements.
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