Compliance Risk Analyst (Policies & Procedures)

ACG Resources

Job Ref: 13558

This role offers an opportunity to join the compliance team as an Analyst in a very friendly and family-oriented bank. The ideal candidate will have some experience within banking and be able to read policies and procedures as well as ensure the various departments are following protocols. Prior experience within bank operations, compliance, or anything similar is suitable. Great chance to grow your compliance skills. Role offers excellent benefits.  Role can possibly be remote after onboarding.


  1. Assists with administering aspects of the Bank Secrecy Act Compliance Program; assists independent, state and federal regulator auditor inquiries.
  2. Maintains proficient knowledge of the rules and regulations, including but not limited to, the Bank Secrecy Act, USA Patriot Act, and OFAC.
  3. Reports any information or knowledge of any events or transactions that could cause a reasonable person to suspect activities that should be reported to the BSA department for further analysis. Responds to inquiries and provides explanations to differentiate suspicious activity from non-suspicious activity.
  4. Responds to inquiries or refers inquiries to the appropriate department or person, and exhibits the necessary follow through with bank personnel.
  5. Assures compliance with all Bank policies and procedures and all applicable state and federal banking laws, rules and regulations.
  6. Assist the SVP of Compliance and Risk in their duties as the Compliance Officer that include, but not limited to: the administration and carrying out the objectives of the Bank’s Compliance Management System (CMS) Program, compliance policy, procedures, monitoring, exception tracking, and training to ensure conformance with State and Federal banking laws within all departments of the Bank.
  7. Identifies, assesses, and prioritizes risk and develops risk methodologies and processes to measure and report issues to the SVP of Compliance and Risk, as part of an effective plan for enterprise-wide risk management.
  8. Reviews deposit and lending procedures, and internal controls, to minimize risk and optimize efficiencies.  Identifies and recommends revisions to policies and procedures.
  9. Collaborates with the SVP of Compliance and Risk to identify gaps in the Bank’s risk management strategy as requested.
  10. May assist in providing training to Bank personnel of emerging and existing issues and consults and guides the Bank in the establishment of controls to mitigate risks.
  11. Perform duties directed by the SVP of Compliance and Risk related to targeted compliance or risk management reviews, training projects, and complex research or projects.
  12. Assists the SVP of Compliance and Risk in administering and managing the Bank’s Policy and Procedure Online manual, including updating as needed.
  13. Assist VP/CRA Officer when needed related to CRA activity administration tasks, including WISH grant documentation and submissions.
  14. Completes administrative tasks correctly and on time and supports the Bank’s goals and values.
  15. Performs the position safely, without endangering the health or safety of themselves or others and  reports potentially unsafe conditions. 
  16. Maintains regular and reliable attendance.
  17. Maintains confidentiality of customer account information.
  18. Other duties as assigned.  This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required by the incumbent for this job.  Duties, responsibilities and activities may change at any time with or without notice.


  • High School diploma; and at least three years of related experience (Regulatory Compliance, BSA, Risk Management) and/or training; or the equivalent combination of education and experience. 
  • Ability to read, analyze and interpret general business periodicals, professional journals, government regulations, and technical procedures.
  • Thorough knowledge of and adherence to banking laws and regulations.
  • Excellent organizational and time management skills.
  • Ability to work productively in teams.
  • Strong analytical, technical, and statistical skills.
  • CRCM, CAMS, and/or CFE certification preferred.
  • Ability to effectively present information and respond to questions from groups of managers, customers, regulatory officials and/or the general public.
  • Ability to maintain a high level of discretion and confidentiality; and integrity in all areas, adhering to policies, regulations, and utmost ethical standards.
  • Ability to prioritize and handle multiple projects.
  • Ability to write reports, business correspondence, and procedure manuals.
  • Exceptional skills in computer terminal and personal computer operation; host computer system; word processing, spreadsheet and specialty software programs.
  • Intermediate typing skills to meet production needs of the position.
  • Intermediate math skills; ability to calculate interest, commissions, proportions, and percentages; balance accounts; add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals; locate routine mathematical errors; compute rate, ratio and percent, including the drafting and interpretation of bar graphs.
  • Exceptional verbal, written and interpersonal communication skills with the ability to apply common sense to carry out instructions and instruct others, train personnel, write reports, correspondence and procedures, speak clearly to customers and employees.
  • Ability to deal with complex problems involving multiple facets and variables in non-standardized situations.
  • Ability to work with little to no supervision while performing duties.


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