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Compliance Analyst

Company: Tri Counties Bank
Location: Roseville
Posted on: April 8, 2021

Job Description:

This really could be the best career decision you ever make.

Position Summary

The Compliance Analyst I is responsible for assisting in the execution of the Bank's Compliance Management Program. This individual will assist with the gathering, organizing and presenting data related to Risk Assessments and Issues Management processes, including gathering formal evidence of completion/correction for gaps and issues. They will also prepare statistical reports to inform management of the impact of remediation, track for trends and identify potential gaps in bank training, policies and procedures that impact the Compliance. Must stay apprised of Compliance regulations, including Unfair, Deceptive or Abusive Acts or Practices (UDAAP) regulations, Consumer Financial Protection Bureau updates and current commentary in regards to Compliance with State and Federal regulations. Position may require direct interaction with all levels of management to understand the issue through to resolution.

Major Responsibilities

  • Creates and/or manages tracking mechanisms to ensure timely and complete remediation of compliance-related issues, deficiencies or regulatory matters.
  • Creates and/or manages tracking mechanisms to ensure timely analyses and implementation of regulatory change.
  • Works across the organization to gather and catalog data and controls to support the Compliance-led Risk Assessment processes.
  • Works with the training to monitor for timely completion of Compliance related training.
  • Works across the organization to ensure timely completion of Compliance related Policies and enterprise level Procedures.
  • Works with Compliance Risk Officer to identify control weaknesses or gaps and work with department managers, internal sponsors, and third-party management to correct deficiencies. In addition, be an active participant in helping to identify the root cause of issues identified.
  • Works with Compliance Risk Officer to prepare statistical reports for the Compliance Risk Management Committee (CRMC) and Enterprise Risk Committee (ERC). Reports should include results of root cause analysis, process improvements identified and/or implemented, and financial impact to the organization.
  • Conveys information and position clearly, concisely, logically and in an organized manner.
  • Highly organized- will need to create a tool that can effectively track all aspects of issues management and can be utilized for reporting purposes, including evidence of remediation/process improvement.
    Other Responsibilities
    • May include other duties as assigned
    • Maintains a current understanding of Bank policies and procedures in compliance with all federal and state laws, including but not limited to Bank Secrecy Act (SARs, CIP, OFAC), Information Security (GLBA), Identity Theft Red Flags, Financial Elder Abuse Reporting, and any other applicable regulations that may be specific to your job duties.
      Education, Experience And Other Skills Required
      • High school diploma or GED required, undergraduate degree preferred.
      • 1-3 years of Banking experience, Compliance experience preferred
      • Knowledge of banking products and services
      • Working knowledge of bank operations
      • Customer relations/service experience
      • Investigative or research experience
      • Data interpretation and analysis experience
      • Excellent verbal and written communication skills
      • Able to utilize personal computers and Windows driven programs
      • Excellent reading, comprehension, analytical and statistical skills
      • Ability to work independently and excellent time management skills
        Company Profile

        Established in 1975, Tri Counties Bank is a wholly-owned subsidiary of TriCo Bancshares (NASDAQ:TCBK) headquartered in Chico, California, providing a unique brand of customer Service with Solutions available in traditional stand-alone and in-store bank branches in communities throughout Northern and Central California.

        The Bank provides an extensive and competitive breadth of consumer, small business and commercial banking financial services, along with convenient around-the-clock ATM, online and mobile banking access.

        Tri Counties Bank has remained strong and profitable through a top-down commitment to its core values, sound business principles and responsible lending practices.

        Our success is also based on our involvement in the communities we serve. The personal touch comes naturally to Tri Counties Bankers. You may recognize us at business, school and non-profit events, baseball games and local eateries, skiing in the mountains, boating on the lakes, and fishing the local streams or attending an event in The City or on the peninsula.

Keywords: Tri Counties Bank, Roseville , Compliance Analyst, Professions , Roseville, California

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