The Bancorp Bank

  • Enterprise Compliance Analyst, Exam & Audit

    Job Location US-DE-Wilmington
    Type
    Regular Full-Time
  • Overview

    Coordinate FDIC and audit requests, responses, and follow up items. Assist with managing the quarterly Compliance Management System dashboards

    Responsibilities

    1. Act as the primary Consumer Compliance coordinator and administrator for all compliance-related audits and exams. Oversee and maintain the ongoing audit and regulatory exam schedule and associated timelines. Identify all upcoming and ongoing audits and examinations, track and monitor dates and key information requests for each exam and audit including acting as lead internal liaison to business line as well as internal compliance colleagues.
    2. Manage tracking system/database for easy access, retrieval and reporting of regulatory exams and audit information.
    3. Update and maintain a library of exam findings, action plans, and related audit materials. Develop a detailed understanding of the regulatory framework as it applies to the diverse Bancorp businesses and identify trends and patterns in audit findings. Make recommendations as needed to pro-actively correct items crossing multiple audits and business lines.
    4. Follow up with business lines to ensure that action plans are implemented in accordance with the time frames provided to the auditors.
    5. Coordinate preparatory meetings between compliance and business lines involved in upcoming audits/exams to review previous audit findings and provide context for the new audit/exam.
    6. Develop and maintain close working relationships across the company to ensure effective communication and follow up on audits and regulatory examinations.
    7. Assist with incorporation of content into quarterly Compliance Management System dashboards.
    8. Provide support to the Customer Complaint and Issue Management processes.

    Qualifications

    Education/Experience:

    • An undergraduate degree in a related field or an equivalent combination of training and experience.

     Other Qualifications:

    • Working knowledge of compliance/risk management in the financial services industry
    • Excellent organizational and follow up skills. Attention to detail is critical.
    • Excellent verbal, written, and interpersonal communication skills.
    • A team player able to work effectively in a multi-tasking environment.
    • Proficient in Microsoft Office suite, e.g. Excel, PowerPoint, Word, Outlook

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