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Compliance Associate/Analyst

Tulsa, OK
Compliance Associate/Analyst
Financial Services

Tulsa, OK

Essential Functions:
  • Provide regulatory and control guidance regarding business practices, key decisions, policies, processes and, standards.
  • Assess operational breakdowns for compliance risk and provide guidance on remediation/recovery plans.
  • Perform risk-based reviews of business line control design and execution effectiveness and provide guidance on identified risks or gaps.
  • Utilize firm's review procedures, including tools/templates necessary to complete reviews (i.e. review check list, official report of review, etc.).
  • Stay abreast of regulatory issues, developments, changes, and industry emerging trends 
  • Compares practice with regulatory and internal requirements to identify variances.
  • Discuses and validate findings with management.
  • Prepare and present conclusions and recommendations to management.
  • Perform other duties as assigned.

REQUIREMENTS:
  • Bachelor's Degree: Business, Finance, or equivalent field or equivalent work experience
  • Two (2) plus years banking or legal compliance experience preferred in a financial institution. 
  • Knowledge of bank administration, lending and operations products and services; related state and federal laws and regulations, and other bank operational policies and procedures. 
  • Experience, knowledge and training in all operational and lending activities and terminology. Good oral and written communication skills 
  • Proven ability to effectively train and instruct others in a formal classroom or one-on-one environment. 
  • Ability to read, analyze and interpret government regulations, periodicals, professional journals, and technical procedures. 
  • Ability to reform compliance reviews with appropriate documentation to support review. Attention to detail. Ability to work with all business lines, and be able to work independently and in a team environment. 
  • Excellent organizational and prioritizing skills. Ability to define problems, collect data, establish facts, and draw valid conclusions. 
  • Strong computer skills including Microsoft Office  
  • Ability to travel 30% of time
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