Retail Compliance and QC Analyst
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Job Description
Retail compliance analyst managing deposit regulations, risk controls, and quality assurance for Origin Bank. Monitoring audits, regulatory changes, deficiencies, reports, and banker training.
Responsibilities:
- Establish and monitor deposit compliance and quality control processes
- Manage first-line-of-defense monitoring to ensure regulatory compliance and effective risk management
- Track federal, state, and local laws and regulations affecting Retail policies
- Monitor regulatory changes, compliance issues, and information technology advancements
- Oversee compliance with federal and state regulations
- Establish and maintain RCSA, KRI, and KPI processes
- Track compliance objectives, standards, legal regulations, and related activities
- Establish and maintain operating procedures and processes
- Collaborate with Regional Operations Managers to identify emerging risks and implement mitigating controls
- Collaborate with Compliance, Internal Audit, and Operational Risk teams
- Provide compliance guidance to retail staff and answer regulatory questions
- Collect and disseminate compliance information
- Re-test findings from internal or external retail audits
- Assist operations with projects, policy releases, and regulatory requirements
- Test and document new deposit policies and procedures on the Deposit Origination platform
- Collaborate with vendors and partners on reports and findings
- Ensure deficiencies are addressed and corrected
- Test RCSA, KRI, and KPI processes
- Compile, distribute, and present monthly management reports
- Report unresolved critical deficiencies to management
- Recommend operational improvements based on findings
- Review deposit account and compliance exceptions for QC selections
- Identify QC trends and challenges and implement resolutions
- Coach bankers on QC trends and challenges
- Collaborate with Learning and Development on training materials
- Maintain training materials and assist with or conduct training sessions
- Perform no supervisory responsibilities
Requirements:
- Expert level knowledge of federal and state regulatory compliance and related laws
- Bachelor's degree from a four-year college or university, or alternatively, five to seven years of senior-level compliance and quality control experience
- Knowledge of deposit account requirements and Origin Bank policies and procedures
- Knowledge of FinCEN, BSA, FCRA, FDIC, OFAC, Reg CC, Reg DD, Reg E, Reg V, UDAP, privacy laws, Dodd-Frank, and other consumer-related laws and regulations
- Ability to establish and maintain Risk and Controls Self-Assessment (RCSA), Key Risk Indicators (KRI), and Key Performance Indicators (KPI)
- Ability to use secure financial systems, computers, phones, photocopiers, scanners, and digital tools
- Ability to maintain professionalism, confidentiality, and attention to detail
- Ability to perform required physical activities, including frequently lifting or moving up to 10 pounds and occasionally up to 25 pounds
- Must complete post-offer criminal background, credit, fingerprint, drug, OFAC, reference, employment, and education verification checks
Benefits:
- Competitive total rewards package
- Generous benefits
- Compensation tailored to skills, experience, and education
- Dream Manager program
- One-on-one guidance from a nationally certified health and wellness coach
- Free access to certified financial professionals
- Professional growth and development opportunities
- Personal growth and support in a people-first culture
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