Legal and Compliance Analyst
About The Position
The Legal and Compliance Analyst serves as the intake and operational foundation for Langley’s Legal and Compliance department. This role is responsible for managing the initial stages of the department's workflow, including receiving and documenting matters from various channels, gathering information from institutional systems, coordinating with external parties, and organizing facts to enable attorneys and compliance staff to focus on higher-risk advisory tasks. The position requires strong institutional knowledge, meticulous documentation skills, and the ability to follow through on open tasks with external parties. Additionally, the Analyst supports the maintenance of policies and document libraries, assists with departmental projects and initiatives, and acts as a reliable point of contact for business units seeking guidance on legal and compliance matters.
Requirements
- High school diploma or equivalent required
- Minimum one (1) year of experience in a financial institution or other highly regulated industry required
Nice To Haves
- Associate or bachelor’s degree in business, pre-law, or a related field preferred
- Exposure to compliance functions preferred
- Familiarity with financial institution platforms (core, digital banking, CRM, document storage) preferred
Responsibilities
- Receives matters from email, Teams, meetings, and direct requests; opens and populates case records with complete and accurate information; and routes matters to the appropriate team member with relevant context organized and ready for review.
- Coordinates regulatory and member complaints, including logging, routing, information-gathering, and response documentation.
- Assists with components of the Compliance Management System (CMS), including change management tracking, monitoring, testing, reporting, research, and implementation of regulatory updates across business units.
- Maintains organized records and documentation for audits, examinations, and internal reviews.
- Edits and publishes approved policy and procedure updates, maintaining version control, templates, tags, and attestations in the policy platform.
- Maintains and enhances departmental knowledge bases, shared drives, and document repositories to ensure accessibility and accuracy.
- Supports cross-departmental understanding of compliance requirements through clear, service-oriented communication.
- Triages, tracks, and maintains records for escalated legal documents and matters (e.g., POAs, trusts/estates, contracts, and court orders) in collaboration with appropriate business units and attorneys.
- Supports recurring CUSO governance, state licensing, and permitting processes, including deadline tracking, renewal submissions, reaffirmation documentation, and coordination with state agencies, registered agents, and other external parties across multi-step, asynchronous timelines.
- Assists with the administration of Langley’s insurance relationships, including claims tracking and documentation.
- Serves as initial point of contact for business unit questions and escalated member situations; gathers relevant facts, clarifies the nature of the legal or compliance question, and prepares a complete summary for attorney or compliance officer review.
- Participates as a Legal and Compliance representative on assigned projects and committees.
- Works collaboratively with Legal, Compliance, and business teams to ensure effective issue tracking and resolution.
- Identifies opportunities to improve processes, templates, and systems for greater efficiency and clarity.
- Maintains awareness of Langley’s products, services, and operations to anticipate compliance impacts.
- Performs other duties as assigned in support of the department’s objectives.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
Number of Employees
101-250 employees
