Compliance Quality Assurance Analyst

This is a fully remote position, open to applicants in United States.

📋 Description

• Collaborate with compliance leadership to design, implement, and oversee quality assurance programs across various business units.

• Monitor changing regulatory requirements, assess their implications, and ensure compliance with laws and standards.

• Coordinate audit and regulatory examination activities, including tracking requests, compiling documentation, and facilitating communication with stakeholders and examiners.

• Conduct compliance risk assessments, pinpoint industry-specific risk areas, and review historical compliance issues.

• Develop and sustain risk assessment methodologies, metrics, definitions, and documentation protocols.

• Involve subject matter experts and risk owners in the compliance assessment process.

• Collect, analyze, and compile assessment results; create risk matrices; and convey findings.

• Enhance compliance risk management processes based on feedback from stakeholders.

• Draft and maintain quality assurance testing plans for each identified risk area.

• Assign roles, track progress, and report on the status of quality assurance initiatives.

• Conduct independent testing of significant rules, laws, and regulations.

• Develop and execute corrective action plans for compliance deficiencies.

• Perform validation work for design and operational effectiveness.

• Prepare management reports detailing quality assurance activities, findings, and suggested improvements.

• Assist with regulatory changes, remediation, and examination programs.

• Undertake additional responsibilities as assigned by the Director of Regulatory Management.

• Operate under the general guidance and supervision of the Director of Regulatory Management.

⛳️ Requirements

• A minimum of 5 years of relevant experience in the diversified financial services sector (preferred), encompassing regulatory, legal, audit, lending, and operational roles.

• Bachelor of Arts or Bachelor of Science degree or its equivalent.

• Capability to prioritize tasks effectively to meet deadlines in both collaborative and independent settings.

• Experience in leading, supporting, or coordinating audit and/or regulatory examination activities, including acting as a liaison with internal and external auditors and examiners.

• Familiarity with Enterprise Risk Management frameworks, risk management processes, risk appetite statements, key risk measures/indicators (leading vs. lagging), risk assessment, and review.

• Comprehensive knowledge of the English language, with excellent proofreading, editing, formatting, and spelling abilities.

• Proficient in employing software and information technology for collecting, organizing, maintaining, and disseminating information; adept at leveraging technology in new or complex situations.

• Strong written and verbal communication, facilitation, analytical, problem-solving, and stakeholder interaction skills.

• Ability to solve problems and execute tasks quickly, accurately, and thoughtfully.

• Professional demeanor, positive attitude, and capability to interact effectively with employees, management, external auditors, and regulatory agencies.

• Forward-thinking, enterprise-oriented mindset.

• High integrity, discretion, sound judgment, and a strong work ethic.

• Willingness to travel domestically up to 10% annually.

• Capacity to perform basic office duties and work at a desk and computer for extended durations.

• Ability to communicate effectively, sit, use hands and fingers, and reach in all directions.

• Capability to lift and carry items weighing up to 25 pounds.

• Availability to work during standard business hours, including occasional weekends and evenings.

• Travel is necessary.

• Must be eligible to work in the United States; visa sponsorship or transfer is not available.

🏝️ Benefits

• Commitment to agriculture and the communities we serve.

• Family-friendly work environment.

• Investment in employee development.

• Medical, Dental, and Vision coverage.

• Exceptional 401k program – automatic 3% employer contribution, plus a match up to 6%.

• Generous Paid Time Off (Vacation accrued at 21 days annually, Sick Days accrued at 15 days annually, 12 paid holidays, plus 16 hours of volunteer time).

• Competitive Incentive Compensation Plan.

• Disability & Life Insurance.

• Employee mental, physical, and financial wellness programs.

• Bonus eligibility based on organizational and individual performance.

• Remote work options; employees may come to an office if needed.

• Team meeting travel.