About This Role
This role involves interpreting rules and regulations to draft and implement policies and procedures, serving as a project or business analyst on compliance-related projects, and ensuring proper identification and implementation of solutions that meet regulatory requirements. The Compliance Analyst will also manage ongoing regulatory requirements, review processes for compliance, and provide training content on changes in laws and regulations to ensure ongoing adherence to all applicable laws and regulations.
Responsibilities
- Perform assigned tasks that support the development, implementation, maintenance, execution, and continual improvement of the Enterprise Compliance Program (ECP)
- Perform the review, collection, and inventory of policies, procedures, processes, and controls and assist in their assessment against Landmark’s ECP and regulatory requirements and standards
- Monitor new and pending legislation, regulation, and bulletins with compliance implications and assist in the development of programs, policies, procedures, and training to implement related requirements and satisfy regulatory requirements
- Assist with the maintenance of legal and regulatory requirements inventory, log of issues and action plans, review and development of compliance training, development and review of analytics to determine the extent of compliance risks resulting from regulatory changes, preparation of regulatory filings and other communications with regulatory agencies
- Provide regular updates to departments impacted by the changes and coordinate implementation plans or manage implementation projects as assigned
- Work collaboratively with business units to successfully implement any procedural changes resulting from testing and monitoring, observations, or findings
- Proactively collect feedback to assess the effectiveness of proposed changes
- Support Landmark’s business areas and enterprise-wide projects by providing compliance subject matter expertise
- Understand and evaluate business processes and related compliance controls development and implementation
- Report findings to management
- Provide subject matter expertise and reviews of new product offerings and all proposed marketing and sales materials, to ensure compliance with applicable laws and regulations, as needed
- Implement and maintain procedures, workflows, job aids, templates, and forms, as assigned
- Assist with preparation, coordination, and support for regulatory examinations, internal audits, and regulatory action items through meeting attendance, information gathering, and issue and action plan follow up
- Perform other duties as assigned
Requirements
- Bachelor's degree and a minimum of 2 years of compliance operations and process experience or equivalent combination of education and experience
