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Compliance Analyst

American First Finance Inc.

Dallas, Texas
January 23, 2019

 

Contact Information

Pam Justiss
pjustiss@americanfirstfinance.com
www.americanfirstfinance.com
972-528-7720

The Compliance Analyst will be responsible for execution of Compliance Management System-related functions, which includes effectively following, supporting, and testing policies and procedures, call monitoring, complaints oversight, appropriately fulfilling compliance obligations, timely and effective escalation and remediation of issues, and making sound compliance risk decisions. This role will focus on proactive monitoring, governance, risk identification, and escalation commensurate with all applicable compliance requirements.

• Call monitoring to identify and escalate compliance-related risks and issues
• Complaint monitoring and drafting responses to any regulatory complaints
• Assistance with execution, reporting, and documentation relating to compliance training, risk assessments, testing, monitoring, and remediation
• Independent testing and monitoring to produce related reports and findings
• Reviewing, identifying, and deterring potential compliance violations
• Facilitating remediation such as monetary adjustments in accordance with internal standards and applicable laws and regulations
• Tracking and monitoring of corrective action plans
• Following up with organization stakeholders to ensure that deadlines are met and deliverables are provided
• Auditing correspondence regarding disputes, account validations, and/or credit bureau issues
• Collecting, analyzing, and summarizing information to produce accurate and reliable compliance reports
• Assistance with drafting and periodically updating policies and procedures
• Collaborates to identify weaknesses in existing procedures and communicates necessary corrections
• Escalating compliance concerns to the Compliance Officer for possible corrective action
• Contributes to and assists in preparing AFF’s monthly compliance reporting

• College degree required
• Background in Compliance, Risk, or Audit a plus
• Proficient in Microsoft Office, particularly Word, PowerPoint, and Excel
• Strong verbal and written communication skills
• Ability to manage data and analyze information
• Understanding of financial products and services
• Strong ability to problem solve and investigate root causes
• Excellent collaborative teamwork skills

Regulatory Compliance Analyst

Aston Carter

Mesquite, Texas
January 14, 2019

 

Contact Information

Lauren Zimmermann
lzimmermann@astoncarter.com
www.astoncarter.com
972-348-1862

The Regulatory Compliance analyst will serve as an integral part of the Bank’s Compliance Department and overall Risk Department. With the support of the Regulatory Compliance Supervisor, this team member will complete various duties in conjunction with or independent of others.

• Reviews Bank policies, procedures and practices to ensure compliance with laws and regulations
• Monitors changes to federal and state banking laws and regulations affecting the management, operations and product offerings of the bank
• Maintains the Bank’s inventory of applicable laws and regulations
• Coordinates with operating departments to ensure adherence to laws and regulations relating to new or revised products and services offerings
• Coordinates and supports the Bank’s compliance-related programs such as compliance monitoring and testing, compliance training and compliance risk assessments
• Provides support to other business units, as needed
• Performs periodic compliance reviews and prepares reports of findings
• Investigates, resolves and responds to complaints
• Other duties may be assigned

• Bachelor’s degree (B.A.) or equivalent combination of experience and training
• 2-4 years of experience related to regulatory compliance
• Familiarity with conducting risk assessments
• Ability to manage small teams
• Comprehensive knowledge of applicable banking laws and regulations
• Strong reporting and analytical skills
• Self-Starter with strong work ethic
• Ability to read and understand manuals, instructions and correspondence
• Provide consistent quality customer service to both internal and external customers that meet or exceeds Bank’s standards
• Excellent verbal and written communication and organizational skills
• Knowledge of Word Processing software; Spreadsheet software and Database software
• CRCM certification is a plus

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