Compliance Analyst

Advantage Tech is looking for a Compliance Analyst to join their Topeka based partner company.  Assist the director of compliance and the compliance program manager in administering compliance program. Works collaboratively with business units to develop, implement, and test policies, procedures, processes and practices to support compliance program, ensuring effective compliance with all applicable laws, rules, regulations and internal controls.   

Responsibilities:

  • Collaborate with various departments of to develop, implement and rationalize policies and procedures to address applicable laws, rules, regulations and internal controls.
  • Implement and maintain a framework to identify, monitor, manage and report company wide compliance with applicable laws, rules, regulations and internal controls.  Proactively monitor the legal and regulatory environment to ensure timely identification and resolution of compliance issues.  Recommend and implement changes as needed.
  • Perform high quality, thoroughly documented, compliance reviews of policies, procedures, and practices related to compliance.  Drafts reports to communicate compliance issues and recommendations for distribution to management.  Maintains a system to track and follow-up on issues identified during compliance reviews.
  • Develop test plans and perform testing to ensure that processes are in compliance with applicable regulatory requirements. Report testing results to appropriate personnel and Management.
  • Provide guidance to senior management regarding legal and regulatory policies, practices and initiatives.
  • Monitor, evaluate and report on compliance related issues. Identify trends and analyze reports of significant compliance related issues and develop effective policies and procedures, if determined to be necessary, in consultation with senior management. 
  • Ensure compliance with policies and procedures and applicable laws and regulations.  Report known or suspected violation of applicable laws, rules, regulations and internal controls to appropriate levels of management. Responsible for developing, implementing, assessing and improving internal controls.
  • Perform other duties as assigned by director of compliance and compliance program manager.

Expectations:

  • Apply knowledge of regulatory obligations and compliance expectations to assist in evaluating compliance with all applicable laws, rules, regulations and internal controls.
  • Remain current on all applicable laws, regulatory requirements and policies impacting system.
  • Assist in the development and administration of compliance program.
  • Assist in managing compliance-related governance matters.
  • Handle all compliance matters with limited supervision and provide prompt professional support management, the director of compliance and compliance program manager.
  • Independently manage workload and exercise independent judgment to complete projects in a timely manner.
  • Provide timely and competent research and advice.
  • Communicate clearly and persuasively, both verbally and written.
  • Work cooperatively with others, inside and outside the organization.
  • Protect business records created or used in business processes to ensure availability, confidentiality, integrity; and the retention and destruction of such as specified by relevant policies.
  • Ability to handle multiple tasks simultaneously, ability to solve problems, memory for details, ability to prioritize, and ability to maintain concentrated mental and visual attention for sustained periods.
  • Demonstrates a commitment to diversity and inclusion (D&I) by taking actions that are consistent with F D&I program. Provides reporting to the Office of Minority and Women Inclusion (OMWI), as needed, as well as partners with OMWI to implement effective policies and procedures that incorporate D&I into business activities.

Knowledge and Skills:

  • Three to five years of similar or related experience.
  • Bachelor’s degree is required.
  • A significant level of trust and diplomacy is required, in addition to normal courtesy and tact. Work involves extensive personal contact with others, and is usually of a personal or sensitive nature. Work may involve motivating or influencing others.

 

Other Skills:

  • Prior experience with compliance testing and implementing and maintaining policies, practices and procedures to support a company-wide compliance function is highly preferred.
  • Must receive a mutually agreed upon compliance certification within two years of employment and maintain the certification.
  • Sound knowledge of compliance related best practices.  Experience and/or understanding of the regulatory process is preferable.
  • High degree of initiative and independence.
  • Results oriented and capability to work in a fast-paced changing environment.
  • Ability to manage multiple projects simultaneously, and complete tasks according to project deadlines.
  • Excellent analytical skills; ability to appropriately assess and address ad-hoc compliance issues in a timely manner.
  • Effective verbal, written, and interpersonal skills to communicate with all levels of staff.
  • Proficient use of computer programs and databases, including MS Word, Outlook, SharePoint/Moss and Internet Explorer, and various databases.
  • Ability to motivate and persuade others through both written and oral communications.
  • Strong organizational skills.
  • Ability to maintain confidentiality of information.
  • Ability to operate all types of office equipment including computer, copy machine, scanner and telephone.
  • Ability to work hours needed to meet the demands of the job.
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