Job Title: Compliance Analyst
Incumbent: New Position
Reports to: Director of Compliance & Associate Corporate Counsel
Basic Function: Responsible for performing the compliance monitoring function
1. Assist the Director of Compliance in the maintenance of the companys Compliance Program.
2. Maintain the Compliance Monitoring Program.
3. Perform the periodic review of processes and procedures to ensure compliance with
applicable federal and state laws and regulations, as well as company policies.
4. Perform Telephone Monitoring of the Eligibility Specialists, Loan Consultants, and Customer
5. Monitor a statistically valid sample of calls previously monitored by Department
6. Prepare periodic reports of findings to the Director of Compliance.
7. Investigate complaints and track their timely response.
8. Maintain the acquisition and renewal of all necessary business licenses, including
telemarketing sales licenses.
9. Assist the IT Department to implement and maintain up-to-date Do Not Call Lists.
10. Other duties as assigned by the Director of Compliance.
1. A minimum of 1-3 years in the fiancial services industry, with a basic but thorough
knowledge of industry processes.
2. Familiarity and basic skills associated with a networked PC environment
3. Ability to quickly become proficient in the use of proprietary systems
4. Audit, Risk Management, Compliance or Legal Experience helpful but not required.
1. Ability to identify exceptions and develop recommendations for remedial solutions.
2. Ability to understand and apply laws and regulations to policies and procedures.
1. Ability to identify and implement controls (whether manual, procedural, policy or systemic)
on the following laws and regulations:
Federal Laws & Regulations
Controlling the Assault of Non-Solicited Pornography & Marketing Act (CAN SPAM)
Electronic Funds Transfer Act and Regulation E
Equal Credit Opportunity Act & Regulation B
Fair Credit Reporting Act & Fair and Accurate Credit Transactions (FACT) Act
Higher Education Act
Gramm Leach Bliley Privacy Act & FTC Safeguards Rule
Office of Foreign Asset Control Regulations
Right to Financial Privacy Act
Soldiers & Sailors Civil Relief Act
Telemarketing and Consumer Fraud & Abuse Prevention Act
Telemarketing Sales Rule (FTC)
Telephone Consumer Protection Act (FCC)
Uniting & Strengthening America by Providing Appropriate Tools Required to Intercept and
Obstruct Terrorism (USA PATRIOT) Act
State Laws & Regulations
California Information Privacy Act
Do Not Call Lists
Telemarketing Solicitor Registration acts and regulations
Telephone Call Monitoring & Recording acts
1. Ability to work with all levels of management and staff.
2. Well organized, efficient and able to work independently
Willingness and ability to travel (less than 10% of time)