Compliance Analyst | ALO | Shaw

Overview

Compliance Analyst - Trainee or SSF provides independent, reasonable objective assurance and recommendations to add value and improve operational controls. The Compliance Analyst is expected to constructively work with the Operations, Client Service and other departments to improve internal controls across the organization.

 

The Compliance Analyst will be responsible for performing assigned internal audit projects, as part of the overall internal audit plan approved by the Compliance and Risk Management department. This responsibility will include assistance in 1) evaluating existing internal control documentation, testing current processes and procedures, and providing recommendations; 2) developing internal audit scopes; 3) performing internal audit procedures; and 4) preparing internal audit reports reflecting the results of the work performed. Audit projects will include, operational, compliance, physical and IT processes.

This position is expected to become very familiar with company policies and procedures.

The Compliance Analyst will also assess call quality and transactions in line with compliance/regulatory requirements to ensure that CSRs deliver their role in driving with the company and client’s integrity values and methodology.

Responsibilities

• Monitor daily operations to ensure adherence to company policies, client requirements, and regulatory standards
• Assist in performing compliance checks and internal audits on process documentation and performance metrics
• Maintain accurate and up-to-date compliance records, reports, and audit logs
• Review transactions and process activities for signs of non-compliance or potential risks
• Interface with Call Center Supervisors, Customer Service Reps, support business units, and other cross-functional areas where needed to help determine compliance needs and provide recommendations on continual process improvement.
• Support in documenting and tracking incidents, breaches, or irregularities and escalating them to appropriate teams
• Help prepare compliance reports for internal leadership and client reviews
• Assist in maintaining regulatory and industry compliance frameworks (e.g. ISO, PCI-DSS, HIPAA, GDPR)
• Stay informed about BPO industry compliance trends and best practices
• Collaborate with quality assurance teams to align compliance and quality standards
• Perform basic risk assessments and assist with risk mitigation plans
• Assist in evaluating process-level controls and suggesting improvements
• Support root cause analysis for repeat violations
• Support regulatory readiness activities for audits, certifications, or renewals – as needed
• Follow up on action items from audit results and risk assessments
• Contributes to Compliance scorecard evaluations used in monthly, quarterly, and annual performance reviews.
• Aid in the preparation of compliance dashboards and performance trackers
• Attend and actively participate in weekly calibration and facilitation on a rotational basis
• Compliance Orientation for New Hires – as needed
• Compliance Orientation for Cross Skilling of agents – as needed
• Perform other duties and special projects assigned to monitor compliance and fraud activities.
• Ensure confidentiality and data privacy standards are met across client and company operations

Qualifications

Qualifications

 

Experience:

• Minimum 1-year previous experience as a Quality Analyst (for External)
• Minimum 1-year previous Call Center experience (for Internal)

Knowledge:

• Intermediate knowledge in MS Office especially MS Excel
• Previous front-line experience and successful completion of program specific training on the program being supported is required.
• Knowledge of system/data vulnerabilities, preferred
• Some knowledge of regulatory environments and requirements, preferred

Skills:

• Strong interpersonal communication skills
• Effective oral and written communication skills
• Team-oriented and Self-motivated
• Performance-oriented and Results – Oriented
• Exceptional performance History in Quality Performance and CSi

Abilities:

 

• Ability to manage sensitive data and maintain a high level of confidentiality
• Ability to review data, identify trends and detect potential compliance risks or irregularities
• Ability to exhibit professionalism/credibility in his/her facilitation skills
• Skilled at handling multiple tasks and responding positively to changing environment
• Demonstrated ability to work with and lead a team
• Demonstrated ability to communicate effectively and professionally with internal and external associates
• Must be willing to work on a graveyard shift; and can travel from one site to another (when necessary)