Compliance Sr Analyst

Brief Overview of Position

The Compliance Senior Analyst works directly with the Compliance Director and business unit partners to provide regulatory compliance support for the Firm’s Regulatory Compliance Program. The primary responsibility is to lead and ensure the effectiveness of the compliance training and complaint management program elements. The Compliance Senior Analyst assists management in maintaining a quality compliant culture. The person in this position will work on various governance related projects and areas within the Compliance Department. Duties will include performing oversight activities ensuring business activities remain safe, compliant, and well-positioned for future opportunity and sustainable growth.

Responsibilities

• Training and awareness: Drive the development and delivery of compliance training programs for firm employees. Assist in raising awareness of compliance policies, procedures, and regulatory requirements throughout the organization. Work collaboratively with Texas Capital lines of business to understand current practices.
• Complaint management: Review and respond to regulatory complaint submissions and identify risks that may need to be escalated to an issue. Perform root cause analysis, trend analysis, and recommend process enhancements based on firm-wide complaints. Partner with the 1st line of defense to provide oversight of firm-wide complaint management processes.
• Regulatory research and analysis: Stay updated on changes in laws, regulations, and industry guidelines relevant to the firm. Conduct research and analysis to interpret regulatory requirements and assess their impact on the firm's compliance obligations. Provide leadership in management of relationships and implementation of programs, services, and initiatives with cross functional business partners.
• Compliance reporting and documentation: Assist in the preparation and submission of compliance reports to senior management and regulatory authorities. Maintain comprehensive and accurate compliance documentation, including policies, procedures, reports, and records of monitoring activities.

Qualifications

• Bachelor’s degree in Finance, Accounting or Business; or equivalent years of additional experience.
• Minimum 5 years of work experience related to financial institution regulatory compliance (e.g., Consumer Protection, Financial Crimes Compliance, Fair Lending, etc.).
• 5+ years of experience in banking compliance (required).
• Knowledge of applicable business and consumer financial services laws and regulations, including, but not limited to, FCRA, ECOA, EFTA, UDAAP, FDCPA, TILA, and SCRA (required).
• Certified Regulatory Compliance Manager Certification (CRCM) (preferred).
• 5+ years of experience in a large financial institution (preferred).
• Experience with new business risk management expectations of the FDIC, and the CFPB.
• Compliance and/or Audit experience, with experience reading, interpreting, tracking, and administrating regulatory requirements.

The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy.Texas Capital is an Equal Opportunity Employer.