Compliance Analyst

Job Purpose: Provide support in the development and administration of the Bank’s regulatory compliance program as second line of defense. Under minimal supervision, this position assists in the development, implementation, and monitoring of various aspects of the Bank’s compliance program and communicates with staff at all levels (including the Board of Directors’ Audit Committee) 

Primary Accountabilities:

  • Compliance Review and Monitor: Performs detailed reviews of loans, deposits and other operational functions for regulatory compliance (i.e., TRID, HMDA, Regulation Z-Truth in Lending). Executes annual risk-based monitoring schedule, ensuring areas with greatest potential risk receive appropriate reviews. Prepares complete and thorough documentation to support conclusions, including effective and reasonable recommendations. Works with department managers to correct possible violations by implementing system adjustments. Provides periodic compliance reports to the Chief Risk Officer (CRO), Management, President & CEO and Audit Committee of the Board of Directors. 
  • Compliance Program Support: Assists in developing, monitoring, and updating the Bank’s compliance related policies, procedures, and review/monitoring programs. Responds to compliance questions received from staff. Contributes to satisfactory internal and external audits and examinations. Maintains current knowledge of all applicable compliance statutes, regulations, and interpretations.

Other Duties: 

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time without notice.


Expectations, Skills & Qualifications:

  • A role model for our core values: Do the Right Thing, Get Stuff Done (G.S.D.), One Team, and Give Generously 
  • Demonstrated commitment to timely, defect free and caring customer service
  • Is accountable for demonstrating working knowledge of regulatory banking regulations and bank operations, practices, and processes. 
  • Professional and able to deliver a high-level of responsiveness to internal customers 
  • Maintain an awareness of changes in industry by attending classes, workshops, and seminars. 
  • Able to perform at a high level in a fast-paced environment 
  • Flexible to change in a growing organization 
  • Ability to read and interpret documentation such as operating and procedure manuals 
  • Proficient at Microsoft Excel, Word, Outlook, and PowerPoint; strong technical ability 
  • Excellent verbal and written communication skills 
  • Demonstrate a high level of organization and attention to detail 
  • Able to prioritize and manage multiple projects/tasks 
  • Demonstrate a collaborative work style and respect for others 
  • Demonstrate self-motivation and present a resourceful work ethic 

Education & Experience:

A Bachelor’s degree or equivalent work experience. Minimum of 5 years compliance testing or internal audit experience. Advanced knowledge in broad range of regulatory compliance requirements, particularly lending related regulations. 

Work Environment:

  • While performing the duties of this job, the employee is regularly required to stand, walk, use hands to type, carry, handle and feel objects, reach with hands and arms, talk or hear. The employee must occasionally lift and/or move up to 25 pounds and more with assistance. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception in the window environment and the ability to adjust focus. 
  • This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines.
  • Local travel is expected for this position

*The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Tradition Capital Bank is an Equal Employment Opportunity and Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race; color; creed; religion; national origin; sex; pregnancy, childbirth, and related disabilities; marital status; status with regard to public assistance; disability; genetic information; sexual orientation, off duty usage of lawful products; familial status; status as a patient enrolled in the marijuana registry program; membership or activity in a local commission; citizenship status; uniform servicemember status; and age; or any other protected class under federal, state, or local law