Compliance License and Testing Analyst
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Job Description
Compliance Analyst providing support to the Compliance Team through licensing and testing at a financial services company. Ensuring adherence to regulatory requirements and improving compliance processes.
Responsibilities:
- Assist in facilitating state license applications
- Organize and monitor licensing efforts
- Assist in monitoring and testing company processes to ensure compliance with company policies and procedures and regulatory guidelines.
- Document review, data analysis, and/or evidence production for the Compliance Department.
- Research testing findings, root cause issues, and develop / propose solutions for practices that are out of compliance.
- Take ownership over and provide recommendations for improvement of Compliance Management System processes.
- Prepare and maintain reports for management
- Any other Compliance-related tasks necessary to ensure to the growth of the Compliance Management System
Requirements:
- 1-2 years experience in Compliance monitoring and testing
- At least 1 year experience in business and lending licensing
- Experience in a technology-first environment
- SQL experience preferred, but not required
- Experience with Asana or Jira preferred
- Quick learner who is willing to take on new challenges
- Strong orientation to deadline and detail
- Organization and Time Management skills are a must
- Superb communication, collaboration, and problem-solving skills
- Ability to embrace and champion our core values
- Ability to work US Eastern Time 9AM - 6 PM (or have availability during some of that time period)
Benefits:
- Flexible work arrangements
- Professional development
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