Regional Oversight and Compliance Risk Analyst (Arizona-Remote)
US Alliance Group, Inc.
US Alliance Group, Inc. (USAG), based in Rancho Santa Margarita, California, is a leader in the dynamic merchant services industry. Our typical customers stay with us much longer, often twice as long as the industry average. Talented and effective Regional Oversight and Compliance Risk Analyst employees are vital to our continued success. We are actively seeking to add this position to our Compliance Division to ensure our customers continue to receive great service as we expand and grow.
Responsible to monitor, measure, and oversee compliance and operational adherence to published standards related to lending and lending-adjacent activities. Work is performed remotely (must reside in Arizona) and on-site at third party locations that are located primarily, but not exclusively, within your assigned geography.
Demonstrates a commitment to collaboration, communication, and teamwork across all levels of the organization; actively contributes to fostering a positive working environment by cultivating strong relationships and promoting a culture of mutual respect and support. Regardless of hierarchical distinctions, engages with colleagues across multiple levels of the company in a collaborative and constructive manner.
Responsibilities:
- Evaluate adherence to published policies, procedures, and other resources. This will be accomplished via a variety of channels including, without limitation, exception reports, transactional testing, and on-site observations.
- Conduct site-visits to assess the currency of marketing materials and activities and to observe consumer-facing interactions to detect deficient controls, fraud, or non-compliance with published procedures.
- Evaluate activities of third-party service providers and evaluate their level of adherence to applicable laws and regulations. Conduct periodic reviews to assess compliance with contractual requirements.
- Extensive scoring of recorded audio calls and review of other communications through various channels.
- Identify and recommend business process modifications to improve operational practices that enhance the customer experience.
- Identify and recommend program modifications to improve the efficacy and efficiency of department activities.
- Maintain timely and accurate data to facilitate timely and accurate reporting.
- Achieve documented production expectations for timeliness, quantity, and quality.
- A portion of your duties will require intraday or overnight travel.
- Assist with special projects and initiatives as assigned by management, demonstrating flexibility and willingness to take on new challenges.
Qualifications:
- Minimum of: Bachelor/Associate degree in a business-related field OR 3 years of compliance monitoring, quality assurance, or auditing experience, in financial services industry
- Effective communication and interpersonal skills, with the ability to build relationships and collaborate with stakeholders at all organizational levels regardless of hierarchical construct.
- Proven ability to manage multiple priorities and deadlines in a fast-paced environment while with acute attention to detail.
- Sound judgment and decision-making abilities, with a commitment to integrity and ethical conduct.
- Strong knowledge of banking regulations and industry standards applicable to the business unit's activities (e.g., anti-money laundering, consumer protection).
- Current and progressive knowledge of state and federal laws and regulations related to lending and lending-adjacent activities.
- Excellent oral and written communication skills with the ability to effectively communicate upward, downward, and laterally.
- Strong organizational, administrative, and time management skills, working in a blend of structured and unstructured environments.
- Critical thinking skills with the ability to ingest complex ideas and processes and reduce them to cogent points and assess the impact on business operations; compile and present results and expected outcomes supported by quantitative and qualitative data; formulate timely and situationally appropriate actions/directions.
- Self-starter with the ability to work independently and collaboratively with a team to calibrate results, achieve goals, and resolve identified issues.
- Ability to work in a rapidly changing, deadline intensive environment while effectively managing multiple responsibilities and prioritizing accordingly.
- Intermediate knowledge of Windows-based software including but not limited to Microsoft Word, Excel, Outlook, PowerPoint, and SharePoint.
- Sound judgment and decision-making abilities, with a commitment to integrity and ethical conduct
We offer a competitive salary, great employee incentives, paid time off, medical and dental/vision package, and Simple IRA in a great work environment. This is not an exhaustive list of duties/position requirements.
If interested, submit resume online.
Job Type: Full Time
Salary: $63,000/year
Monday-Friday 8am to 5pm (Remote AND on-site at third party locations that are located primarily, but not exclusively, within your assigned geography – Must Reside in Arizona)
This position is subject to a background check, credit report, and pre-employment drug screening.
To review US Alliance Group Inc.’s CCPA Employee Notice, please copy and paste the following link into your web browser: https://usag-inc.com/ccpa-employee-notice/
Job Type: Full-time
Pay: $63,000.00 per year
Job Type: Full-time
Pay: $63,000.00 per year
Benefits:
- Dental insurance
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Retirement plan
- Vision insurance
Schedule:
- 8 hour shift
- Day shift
- Monday to Friday
Application Question(s):
- Do you have compliance monitoring, quality assurance or auditing experience?
- Do you have prior work experience in the financial services industry?
- Do you have any Compliance or Risk Management or Auditing certifications?
Location:
Work Location: Remote