REPORTING RELATIONSHIPS

Reports to the Director of Compliance Shared Services within the Compliance Department.

 

POSITION SUMMARY

Utilize compliance expertise to assist in the performance of compliance audits and support regulatory compliance functions at all entities across the system as a service to the Board of Trustees and all levels of management. 

 

ACCOUNTABILITIES

Performs Compliance audits to measure compliance with regulations, policies, procedures, workflow and other applicable requirements. Prepares detailed workpapers to support completion of the audit and any findings identified. Performs research on compliance related issues utilizing appropriate data resources. Serves as a compliance consultant and system level resource for regulatory research. Performs maintenance of department compliance databases including but not limited to organization and file sequencing to support timely retrieval of documents, reports, and statistical analysis requests from internal stakeholders. Performs updates to the Compliance plans, policies, and supporting documentation. Prepares reports, charts, statistics and other documentation as necessary to communicate compliance activities, issues and concerns to appropriate parties. Performs system-wide functions such as the sanction screening process and maintenance of the hotline and to ensure effectiveness.

 

This position will have a hybrid schedule between the downtown campus and remote options.