Compliance Analyst
Futurex•Bulverde, TX
•Onsite
About The Position
The Compliance Analyst is a critical position for ensuring that the organization adheres to all relevant regulatory requirements and industry standards. The Compliance Analyst is responsible for responding to customer queries regarding vendor compliance and conducting basic customer compliance reviews to ensure all customer interactions and services meet applicable regulatory/compliance/industry requirements. The Compliance Analyst will also assist in internal audits for the organization and support external audits/assessments being performed by the organization’s external auditors.
Requirements
- Bachelor’s degree in Law, Business Administration, Finance, Information Technology or a related field.
- 4+ years of experience in compliance, risk management, or a similar role, preferably within the financial services industry.
- Strong knowledge of regulatory requirements and compliance standards.
- Excellent analytical and problem-solving skills.
- Effective communication and interpersonal skills.
- Attention to detail and ability to handle confidential information.
Nice To Haves
- Certification in compliance (e.g., Certified Compliance & Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM), Certified Information Systems Auditor (CISA) or any other relevant industry certification) is a plus.
Responsibilities
- Answer queries from customers regarding organization’s compliance
- Act as a liaison between the organization and the customer to resolve specific compliance related questions/issues
- Respond to customer vendor risk/security assessment questionnaires
- Request compliance documentation and evidence from vendors
- Review and evaluate the provided documentation/evidence to obtain assurance that vendor is meeting its compliance obligations
- Assist in performance of internal audit activities for the organization
- Ensure that all time-based activities to support organization’s compliance are being conducted
- Collect regular evidence to support organization’s compliance
- Assist with audits/assessments being performed by external auditors and ensure that the organization is ready for these assessments
- Evaluate the requests received from the external auditors and act as a liaison between external auditors and internal subject matter experts
- Provide responses to external auditors
- Stay updated with changes in regulatory environment and to industry standards
- Ensure the organization’s compliance practices align with current laws, regulations, and industry standards
- Maintain detailed and accurate records of all compliance activities and findings
- Prepare compliance reports for senior management and regulatory bodies
- Document and report any compliance violations or issues
Benefits
- Health, dental, vision, life, and short/long-term disability insurance
- Paid vacation, holidays, and sick leave
- Competitive compensation and opportunities for advancement
- Retirement plan with employer contribution match
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
