Compliance Quality Assurance Analyst

Accountabilities

• Collaborate with compliance leadership to design, implement, and maintain quality assurance programs that support regulatory compliance across business units.
• Monitor regulatory developments, assess their potential organizational impact, and support adherence to applicable laws, regulations, and standards.
• Coordinate audit and regulatory examination activities by tracking requests, gathering documentation, facilitating communications, and supporting interactions with auditors and examiners.
• Assist with comprehensive compliance risk assessments, including identifying industry-specific risks, evaluating historical issues, engaging subject matter experts, and coordinating with risk owners.
• Develop and maintain risk assessment methodologies, metrics, definitions, documentation standards, and related processes.
• Analyze and tabulate assessment results, develop risk matrices, communicate findings, and incorporate stakeholder feedback to continuously improve risk management practices.
• Create and maintain quality assurance testing plans covering objectives, sampling approaches, assessment criteria, policies, and schedules for individual risk areas.
• Assign responsibilities, monitor initiative progress, and report on the status and effectiveness of compliance quality assurance activities.
• Perform independent testing of material rules, laws, and regulations and validate both the design and operating effectiveness of controls and remediation activities.
• Support the development and implementation of corrective action plans for identified compliance deficiencies and contribute to issue remediation.
• Prepare clear, accurate management reports outlining testing activities, findings, risks, and recommended improvements.
• Support broader regulatory management initiatives, including regulatory change monitoring, remediation, examinations, and continuous improvement.
• Maintain high standards of integrity, confidentiality, documentation quality, and regulatory compliance while collaborating across the organization.

Requirements

• Bachelor’s degree or equivalent in a relevant discipline, combined with approximately 5 years of directly related experience.
• At least 5 years of relevant experience within diversified financial services is preferred, particularly across regulatory, legal, audit, lending, compliance, or operations functions.
• Experience leading, supporting, or coordinating audits and/or regulatory examinations, including working with internal and external auditors or regulatory examiners.
• Strong understanding of Enterprise Risk Management frameworks, risk management processes, risk appetite statements, key risk indicators/measures, risk assessments, and review methodologies.
• Experience with compliance testing, quality assurance, regulatory management, issue remediation, or control effectiveness validation.
• Excellent analytical, problem-solving, organizational, and decision-making abilities, with the capacity to execute work accurately and thoughtfully under deadlines.
• Exceptional written and verbal communication skills, including proofreading, editing, formatting, facilitation, and the ability to communicate complex compliance matters clearly.
• Strong stakeholder management skills and the professional presence needed to work effectively with employees, leadership, external auditors, and regulatory agencies.
• Proficiency with business software and information technology used to collect, organize, analyze, maintain, and communicate information, with the ability to adapt to new or complex technologies.
• Ability to prioritize competing responsibilities independently while contributing effectively within a collaborative team environment.
• Forward-thinking, enterprise-level mindset with the ability to anticipate emerging compliance and regulatory risks.
• High integrity, discretion, sound judgment, strong work ethic, and a commitment to confidentiality.
• Ability to work remotely while maintaining productivity, professionalism, and strong customer-service standards.
• Ability and willingness to travel domestically up to approximately 10% annually, including occasional travel for team meetings.
• Must be legally authorized to work in the United States; visa sponsorship or transfer is not available.

Benefits

• Annual base salary range of $83,889.29 to $142,611.79, with geographic adjustments based on work location and compensation determined by qualifications, experience, skills, achievements, and other relevant factors.
• Performance-based incentive compensation eligibility.
• Fully remote work arrangement, with the option to work from an office when needed.
• Medical, dental, and vision coverage.
• 401(k) plan with an automatic 3% employer contribution plus matching contributions of up to 6%.
• Generous paid time off, including vacation, sick leave, 12 paid holidays, and volunteer time.
• Disability and life insurance coverage.
• Employee mental, physical, and financial wellness programs.
• Family-friendly work environment and supportive team culture.
• Investment in employee development and professional growth.
• Opportunities to contribute to a mission supporting agriculture and the communities it serves.
• Some travel support for team meetings and other business needs.