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Overview

Company

Original Job Post

Xe.com · 2 days ago

Regulatory Compliance Service Delivery and Support Analyst

Irvine, CA

Full-time

Hybrid

Mid, Senior Level

$83K/yr - $102K/yr

5+ years exp

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Financial Services

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Responsibilities

Monitoring Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs) to ensure alignment with business and regulatory expectations

Augmenting and adjusting KPI's and KRI's based on business needs and risk appetite

Monitoring vendors and vendor-managed applications to ensure compliance with Service Level Agreements

Working with Business Process Improvement team to identify areas for enhancement

Tracking and Coordinating Issues from regulatory exams, internal audits, and reviews

Being a Key Point of Contact for department communication channels

Assisting Heads of Compliance with regulatory examinations

Managing and maintaining the directory of policies and procedures

Staying abreast of key regulatory changes and laws, coordinating oversight of program pillars

Partnering with business stakeholders to analyze proposed initiatives from a regulatory perspective

Supporting the review, updating, or drafting of regulatory training material

Maintaining systems and procedural excellence through Compliance assurance monitoring

Raising recommendations to the HOC regarding policy exceptions and issues escalation

Supporting Compliance culture by advising on regulatory compliance issues

Strengthening the compliance culture across the business

Recommending actions to rectify risk areas and tracking completion of agreed actions

Qualification

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Financial Industry ExperienceLegal Compliance UnderstandingData Analytics ToolsProject ManagementRisk AssessmentProblem-SolvingCommunicationTeam Management

Required

Able to demonstrate a track record gained through working within a similar role within the financial industry for a minimum of 5 years

Bachelor degree in business, finance, law enforcement, legal studies or a related field. May be substituted with equivalent work experience in Compliance within the financial industry

Knowledge of the regulatory landscape and key program pillar requirements across the globe

You will have a detailed and broad understanding of legal/regulatory and compliance

You have an in-depth knowledge of key reporting and data analytics tools (Power BI, Tableau, etc.)

You will have strong people skills and experience of managing multiple projects across various teams

You will possess a strong ability to articulate and communicate risk/compliance issues across all levels and hierarchies in the business (from team members, managers, directors to the board)

Demonstrate project management skills and management skills necessary to produce work in accordance with professional standards

Ability to assess complex activities to identify potential compliance and/or operational risks