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Thompson Law
Case Quality & Compliance Specialist - Dallas
Career Insights for Compliance Officer / Analyst
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What they do
A Compliance Officer or Analyst monitors internal compliance with company policies and also company compliance with local, state and federal laws. Reviews company documents, including contracts and marketing materials; communicates with employees and develops training and internal policy materials.
$71,465 / year median in Texas
+6% projected growth
Job Description
Job purpose The Operations Analyst's responsibility is to identify issues with workflow, accuracy and compliance in case files in all stages across the firm. The Operations Analyst will work closely with the operations team members to gather, analyze and present data to managers to ensure that cases are being worked efficiently and effectively in accordance with the firm's prescribed workflow. The Data and Reporting Analyst reports directly to the Operations Director. Duties and responsibilities Ensuring that all required information has been collected accurately in the case file and that the case has been tiered accurately. Assigning cases to pre-lit and litigation teams Auditing files to ensure all cases are staffed properly with team members. Ensuring timely collection of fees on maintained interests and referred out cases Ensuring cases are flowing through the pipeline in an efficient and effective manner Ensuring client communications are occurring at prescribed intervals Ensuring file reviews are occurring at prescribed intervals Ensuring timely and accurate reporting on all facets of pre-sign, pre-lit and litigation cases Processing and ensuring appropriate action is taken on all automated reporting for the firm. Interfacing with operations team and managers to ensure reporting is used in an effective manner to identify and correct issues. Monitoring closed cases related to fees collected and cases closed without fee to spot check for accuracy. Additionally, assessing and monitoring drop rates among the teams. Monitoring expenses incurred on files. Qualifications