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Compliance Testing Analyst

  • Republic Bank
  • Louisville, KY 40214
  • Full-Time

Job Details


The Compliance Testing Analyst is responsible for monitoring compliance with all applicable federal and state regulations and statutes for various areas of the Bank and responsible for any assigned area of specialty. This position will utilize Compliance Management System procedures to document standardized compliance reviews. Additionally, the Compliance Testing Analyst will also provide support, as needed, to compliance management.

• Bachelor’s degree or equivalent work experience required.
• Previous banking, auditing or compliance experience preferred.
• Demonstrated ability in Word, Excel, and Internet applications required.

• Conduct standardized periodic compliance reviews in accordance with the Compliance Review Schedule including issuance of findings reports to department and senior management regarding completed audits.
• Create and maintain relationships with applicable Business Units, Audit, and Legal to be able to confer as necessary
• Assist Compliance Management with root cause analysis of compliance exceptions utilizing information obtained from standardized compliance audits.
• Support reporting of Compliance Key Risk Indicators, as needed, based on Compliance Review results.
• Assist in completing Appropriate Risk Assessments in accordance with Compliance Department processes, under the direction of Compliance Management.
• Conduct follow-up audits of corrective actions as necessary to ensure recommendations implemented appropriately.
• Assist Compliance Management with change management reviews of new products, processes and initiatives for compliance with applicable federal and state regulations, statutes and guidance.
• Review Bank policies and procedures to help ensure they are up-to-date, complete, and meet regulatory expectations.
• Provide advertisement approvals for marketing initiatives.
• Develop thorough understanding of procedures for all areas of responsibility.
• Develop knowledge of all compliance regulations within assigned area of specialty.
• Assist with preparation of examination materials as needed.
• Maintain a working knowledge of compliance requirements affecting your position and area of responsibilities and actively learn new regulations and assist in the implementation, if required.
• Model and foster behaviors that support the Bank’s values and corporate culture creating an atmosphere of trust, cooperation, accountability and dedication to the organization.
• Willingly perform all other duties and projects as assigned.

• Must have a highly developed work ethic including self-motivation, time management, and organizational skills.
• Must be able to manage multiple projects at once.
• Must be detail oriented.
• Must approach tasks with a sense of urgency and adhere to assigned deadlines.
• Must have effective communication (written and verbal) skills to adequately convey reports, findings, etc. related to job function.

The physical demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this position, the associate is regularly required to sit, use hands to finger, handle, or feel; and talk or hear. The associate frequently is required to stand or walk. The associate is occasionally required to reach with hands and arms. The associate must occasionally lift and/or move 10 pounds. Specific vision abilities required by this position include close vision, and distance vision. The noise level in the work environment is usually moderate.

• Travel between Republic Banking facilities is required.
• Occasional out-of-town travel may be required.
• Flexible work schedule that will include some evenings, weekends and overtime.
• Stay abreast of new developments, best practices, and statutory and regulatory changes.

**The above is intended to describe the general content of and requirements for the performance of this position. It is not construed as an exhaustive statement of duties, responsibilities or requirements.