Regulatory Compliance Consultant

Summary

Treliant is a consulting firm serving financial services organizations with regulatory compliance, risk, and operational solutions. The Regulatory Compliance Consultant will support remote, project-based client engagements by assessing compliance management systems, testing processes and transactions, identifying regulatory gaps, analyzing data, and preparing client reports and other deliverables.

Responsibilities

• Assess CMS program documents including, without limitation, Board and Management oversight, Third Party oversight, compliance programs, complaint response management, and compliance audit programs
• Review CMS process narratives, procedures, and process flows, and perform a gap analyses to regulatory requirements
• Assess current state processes for alignment with policies, procedures, and regulations
• Identify regulatory gaps and develop recommendations for changes to procedures and documentation
• Perform transaction testing to confirm adherence to policies, procedures, and regulations
• Create and maintain detailed supporting work papers
• Manage large data sets, troubleshoot, and develop processes for collecting and aggregating data effectively and efficiently
• Synthesize data into Key Risk Indicators and Key Performance Indicators
• Communicate effectively with the client, team members, and management
• Create and maintain client deliverables such as assessment/audit reports, risk assessments, work papers, and reporting decks
• Meet deadlines and work under pressure when required
• Identify issues and escalate as needed
• Perform other duties as assigned

Skills

• Significant Regulatory Compliance experience
• Bachelor's Degree in business or equivalent work experience
• 4+ years' experience in compliance testing, audit, or process/risk/control documentation and evaluation
• 4+ years' Financial Services experience, with a focus on bank regulatory compliance, deposit operations and loan operations
• Excellent written and verbal communication skills to include client report writing and presentation
• Effective project management and leadership skills
• Manage multiple tasks effectively and efficiently
• Work independently as well as part of a team
• Strong organizational skills
• Ability to maintain documentation and records in an organized and accessible manner
• Meet deadlines and work under pressure when required
• Identify issues and escalate as needed
• Ability to plan, strategize, and manage time independently and within budget
• Advanced Excel and PowerPoint skills, as well as proficiency with business process mapping tools such as Visio
• Applicants must be able to work in the United States without requiring sponsorship
• Experience with fintechs or third-party oversight is preferred

Qualifications

Must Haves

• significant Regulatory Compliance experience
• Bachelor's Degree in business or equivalent work experience
• 4+ years' experience in compliance testing, audit, or process/risk/control documentation and evaluation
• 4+ years' Financial Services experience, with a focus on bank regulatory compliance, deposit operations and loan operations
• Excellent written and verbal communication skills to include client report writing and presentation
• Effective project management and leadership skills
• Manage multiple tasks effectively and efficiently
• Work independently as well as part of a team
• Strong organizational skills
• Ability to maintain documentation and records in an organized and accessible manner
• Meet deadlines and work under pressure when required
• Identify issues and escalate as needed
• Ability to plan, strategize, and manage time independently and within budget
• Advanced Excel and PowerPoint skills, as well as proficiency with business process mapping tools such as Visio
• applicants must be able to work in the United States without requiring sponsorship

Nice to Haves

• experience with fintechs or third-party oversight is preferred

Benefits

• 100% remote project-based roles
• Incentive pay
• A full range of health benefits
• Vacation plan
• 401k plan
• Flexible benefit package
• Collaborative team culture
• Career advancement support