Compliance and Auditing Analyst

Compliance and Auditing Analyst Irving, TX Job Details Full-time 1 day ago Qualifications Compliance risk assessment Internal controls Microsoft Excel Reputation management Microsoft Outlook Audit report preparation Bachelor's degree in finance Regulatory compliance Compliance audits & assessments Corrective and preventive actions (CAPA) Mid-level Compliance management implementation Bachelor's degree in business administration Finance CRCM Analysis skills Policy & process development Compliance management Bachelor's degree Bank experience Legislation Business Administration Training & development 1 year Bachelor's degree in accounting Training Business Certified Anti-Money Laundering Specialist Crisis management Accounting Communication skills Financial compliance experience in banks Internal audits

Full Job Description Description:

The Compliance and Auditing Analyst will support the bank's regulatory compliance efforts by monitoring, reviewing, and analyzing banking activities to ensure adherence to all federal and state laws, regulations, and internal policies. This role will play a key part in maintaining the bank's reputation for integrity and regulatory excellence.

Requirements:

Conducting regular audits to ensure the organization is following set procedures and practices Identifying potential areas of compliance vulnerability and developing corrective action plans for resolution Providing guidance on compliance matters, and advising the organization on necessary changes to ensure compliance Documenting audit findings and preparing detailed reports to present to management Assisting in the development and implementation of compliance programs and policies Staying up to date with legislative and industry changes that may impact the organization's compliance Providing compliance training to employees and stakeholders on regulations and industry practices Participating in the evaluation of new business initiatives and strategies to assess their compliance implications Interacting with regulatory bodies during audits or examinations Develop and implement an effective legal compliance program Create sound internal controls and monitor adherence to them Draft and revise company policies Proactively audit processes, practices and documents to identify weaknesses Evaluate business activities (e.g. investments) to assess compliance risk Collaborate with external auditors and HR when needed Set plans to manage a crisis or compliance violation Address employee concerns or questions on legal compliance Keep abreast of internal standards and business goals

Qualifications:

Proven experience as a Compliance and Auditing Analyst or Compliance Officer Familiarity with industry practices and professional standards Excellent communication skills Integrity and professional ethics Teamwork skills

Skills, Certifications, Education Required:

Bachelor's degree in Finance, Accounting, Business Administration, or a related field. 1-3 years of experience in banking, financial services, or regulatory compliance. Familiarity with federal and Texas state banking regulations. Strong analytical, organizational, and communication skills. Proficiency in Microsoft Office (Word, Excel, Outlook).

Preferred:

Experience with compliance management systems or audit software. Certifications such as CRCM (Certified Regulatory Compliance Manager), CAMS (Certified Anti-Money Laundering Specialist), or similar. Prior experience with community or regional banks or primary regulatory agency.