Analyst, ERM Compliance

Take your career to the next level! In the last few years our goal has been expansion, creating growth opportunities for many of our team members. Not only are we serious about growth, but we are also serious about helping our customers during hard financial times.

We take pride in providing solutions and offering a helping hand, not only to our customers but also to the communities we serve. As we continue to expand and grow into a national leader in consumer financing, we invite you to consider joining our team.

If you're passionate about making a meaningful impact in people's lives and bringing a personal touch to finance, we'd love to have you on board!

The ERM Compliance Analyst is primarily responsible for supporting, developing, and managing Regional’s Enterprise Risk Management (ERM) Program. Reporting directly to the Chief Compliance Officer (CCO), this role will work closely with the Compliance team in the identification, analysis, mitigation, and monitoring of third-party risks. The ERM Compliance Analyst will be responsible for supporting risk mitigation, coordination, and execution of the ERM framework with a focus on risk analysis and quantification, risk tracking, vendor management, and commercial insurance procurement.
 

You will act as a thought leader working across the business to develop and implement cutting edge risk solutions in support of Regional’s current and anticipated business activities. The Compliance Analyst will also support in responding to consumer complaints and state examinations.

Duties and Responsibilities

• Develop a broad understanding of Regional’s business in order to facilitate the identification, assessment, and reporting of risks across the company and to be able to champion the application of sound risk management practices
• Develop a broad understanding of Enterprise Risk Management to improve the ERM program, including the incorporation of best practices and increased efficiency
• Develop a broad understanding of the ERM risk measurement including qualitative and quantitative quantifications
• With support of the CCO, prepare the quarterly ERM Committee presentation
• With the support of the CCO, prepare the Board of Directors Risk Committee presentation
• Lead the annual SOC1 and SOC2 review process, including coordination of the annual cycle and execution of the requirements
• Perform analysis of SOC 1 and SOC 2 audit reports to identify and assess vendor control gaps; assess results and provide recommendations for control weaknesses
• Support the Vendor Management Program by leading and conducting the Periodic Due Diligence Program for “Critical”, “High” and “Medium” vendors; track communications, receipt and review of due diligence, identify issues, and report to the CCO
• Provide support as needed in specific areas of the Compliance Department including state examinations, complaint management, fraud management, FCRA management, etc.
• Manage the annual renewals of the commercial insurance program including casualty, property, and executive liability programs.
• Support the communication of the status of risk management issues to the executive leadership team.

Minimum Qualifications

• Bachelor’s degree in Accounting, Finance, Information Systems, Business or a similar field
• Ability to manage multiple engagements and competing priorities in a rapidly growing, fast-paced, collaborative environment
• Ability to work well under pressure and manage tight deadlines
• Demonstrated written and oral communication skills and the ability to present to various levels of audiences
• Ability to work both collaboratively and independently
• Extremely organized and detail oriented

Preferred Qualifications

• Graduate of an accredited university with a degree in business or risk management
• Strong desire to become a compliance professional with an initial focus in risk management
• Experience in enterprise risk management, compliance, internal audit, or a related function
• Ability and willingness to manage administrative functions including cease and desist support

Critical Competencies

Communication Skills: Polished communication skills will be necessary in the creation of reports and presentations for management, executives, the board of directors, and other stakeholders. These reports facilitate decision-making and strategy formation and must, therefore, be crisp, clear, unambiguous, convincing, and tailored in such a manner that the audience at hand will understand.  Must have the ability to influence without direct authority.

Computer Skills/Microsoft Suite: Must demonstrate exceptional computer skills and proficiency in the use of Microsoft Word, Excel, PowerPoint, and Outlook, which are necessary for the creation of visually and verbally engaging presentations for management, executives, the board of directors, and other stakeholders.

Interpersonal Skills: A candidate for the position will be collaborative, a tactical executor, self-motivated working under strong supervision, highly adaptive and welcoming to change, have a keen eye for detail, and highly organized. Must have the ability to multitask, prioritize, meet tight deadlines, and have exceptional problem-solving skills.

Compensation range: $56,378 - $70,472

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Regional is an equal opportunity employer and does not discriminate on the basis of race, color, religion, creed, national origin, sex (including pregnancy, childbirth, and related medical conditions), sexual orientation, gender identity, transgender status, age, disability, genetic information, veteran status, uniform service, or any other characteristic protected by applicable law (“Protected Characteristics”). Regional’s policy of non-discrimination applies to all phases of the employment process and relationship, including, but not limited to, recruitment and selection; compensation and benefits; professional development and training; promotions and opportunities; transfers; social and recreational programs; layoff; and terminations.