Compliance Quality Assurance Analyst

American AgCredit

2d • $83,889 - $142,612 • Remote

About The Position

The Association's Internal Controls Policy establishes the goal of supporting an enterprise-wide Regulatory Compliance Program through monitoring, education, and training. The Compliance Quality Assurance Analyst plays a critical role in supporting the Compliance Program by assisting in the design, implementation, and ongoing management of the organization’s quality assurance and regulatory management programs. This position is responsible for monitoring regulatory changes, assisting with regulatory examination activity, conducting compliance risk assessments, collaborating with subject matter experts, and ensuring the organization adheres to all relevant laws and standards. The Compliance Quality Assurance Analyst will help maintain robust compliance methodologies and contribute to continuous improvement in compliance risk management processes.

Requirements

• 5 years of directly related experience in the diversified financial services industry (preferred), including regulatory, legal, audit, lending, and operations experience.
• Bachelor of Arts/Bachelor of Science degree or equivalent.
• Ability to prioritize work to meet deadlines in a collaborative setting and independently.
• Experience leading, supporting, or coordinating audit and/or regulatory examination activities, including serving as a liaison with internal and external auditors and examiners.
• Knowledge of Enterprise Risk Management frameworks, risk management processes, risk appetite statements, key risk measures/indicators (leading vs. lagging), risk assessment, and review.
• Thorough knowledge of the correct use of the English language, excellent proofreading, editing, formatting, and spelling skills.
• Proficient in using software and information technology to collect, organize, maintain, and disseminate information. Ability to utilize and leverage technology in new or complex situations.
• Strong written and oral communication and facilitation skills as well as analytical, problem-solving, and stakeholder interaction skills.
• Ability to problem solve and execute work quickly, accurately, and thoughtfully.
• Professional presence, positive demeanor, and ability to interact effectively with all levels of employees, management, external auditors, and regulatory agencies.
• Possess a forward-thinking, enterprise mindset to stay ahead of potential, emerging risks.
• High integrity and discretion, sound judgment, and strong work ethic.
• Ability to travel domestically up to 10% annually.
• Must be able to perform basic office tasks and work in a typical office setting.
• The employee will be sitting for extended periods and accomplishing work at a desk and a computer for an extended period.
• Must have strong written and verbal communication skills to convey ideas and work with a team effectively.
• The ability to talk and hear, sit and use their hands and fingers, and reach in all directions is essential in the performance of the job.
• Some lifting and moving of items up to 25 pounds is required.
• Work during established business hours and may require occasional weekend and evening work.
• Travel required.

Nice To Haves

• 5 years of directly related experience in the diversified financial services industry

Responsibilities

• Collaborate with compliance leaders to design, implement, and manage quality assurance programs that ensure compliance across all business units.
• Track evolving regulatory requirements, analyze their impact, and support organizational adherence to applicable laws and standards.
• Assist with the coordination of audit and regulatory examination activities, including tracking requests, gathering supporting documentation, and facilitating communication with internal stakeholders and examiners.
• Assist in directing and conducting comprehensive compliance risk assessments, including identifying industry-specific risk areas and evaluating historical compliance issues.
• Work with compliance team leaders to develop and maintain risk assessment methodologies, including metrics, definitions, and documentation procedures.
• Identify and engage subject matter experts (SMEs) and risk owners to facilitate effective compliance assessment processes.
• Collect, analyze, and tabulate assessment results; create risk matrices; and communicate findings to relevant stakeholders.
• Solicit feedback from stakeholders and incorporate suggestions to refine compliance risk management processes.
• Draft and maintain quality assurance (i.e., testing) plans for each risk area, specifying objectives, sample selection, assessment policies, criteria, and schedules.
• Assign responsibilities, monitor progress, and report on the status of quality assurance initiatives.
• Perform independent testing on material rules, laws, and regulations to ensure compliance.
• Assist in the development and implementation of corrective action plans to address identified compliance deficiencies.
• Perform design and operating effectiveness validation work in accordance with the issue management processes.
• Prepare reports for management detailing compliance quality assurance activities, findings, and recommended improvements.
• Support the Association's regulatory management program, which includes efforts focused on regulatory change, remediation, and examinations.
• Perform other duties as assigned by the Director of Regulatory Management

Benefits

• Commitment to agriculture and the communities we serve
• Family friendly work environment
• Investment in employee development
• Medical, Dental and Vision coverage
• Outstanding 401k – automatic 3% employer contribution, plus 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level