Compliance Analyst

Overview

Compliance Analysts 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

• Monitoring of Calls – 10-25 calls per day
• Daily/weekly/monthly reports and other communication materials to highlight quality/compliance metric performance achievements and identify areas of opportunities with risks
• Input data pertinent to quality and compliance measurement database systems for capturing, analyzing, and providing timely and accurate reporting on call center performance.
• Support compliance monitoring solutions, identify risks and report them appropriately
• 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.
• Identify and report any required training issues to department management and trainers.
• Take an active part in the evolution of the attribute document
• Identify changes that need to be made to our evaluation tool 
• Create and update standards as appropriate
• Create scripting and resources for agents when requested or needed
• Provide in-depth comments on evaluations for manager coaching
• Train new members that join our team
• Follow up with issues identified to ensure they are resolved
• Contributes to Compliance scorecard evaluations used in monthly, quarterly, and annual performance reviews.
• Team Accountability – weekly progress report with action items
• 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
• Facilitation of Mock Calls and Certification – as needed
• Perform other duties and special projects as assigned to monitor compliance and fraud activities.

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 maintain a high level of confidentiality
• Ability to exhibit efficiency in terms of the quality and speed of administrative tasks and deliverables a trainer should complete. This will also be based on the amount of time a trainer has spent in classroom training and coaching sessions (SBS or Remote).
• Ability to respond positively to changing environment
• Ability to exhibit professionalism/credibility in his/her facilitation skills
• 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)