Compliance and Auditing Analyst

The Compliance and Auditing Analyst will support the bank’s regulatory compliance efforts by monitoring, reviewing, and analyzing banking activities to ensure adherence to all federal and state laws, regulations, and internal policies. This role will play a key part in maintaining the bank’s reputation for integrity and regulatory excellence.

Requirements

• Conducting regular audits to ensure the organization is following set procedures and practices
• Identifying potential areas of compliance vulnerability and developing corrective action plans for resolution
• Providing guidance on compliance matters, and advising the organization on necessary changes to ensure compliance
• Documenting audit findings and preparing detailed reports to present to management
• Assisting in the development and implementation of compliance programs and policies
• Staying up to date with legislative and industry changes that may impact the organization’s compliance
• Providing compliance training to employees and stakeholders on regulations and industry practices
• Participating in the evaluation of new business initiatives and strategies to assess their compliance implications
• Interacting with regulatory bodies during audits or examinations
• Develop and implement an effective legal compliance program
• Create sound internal controls and monitor adherence to them
• Draft and revise company policies
• Proactively audit processes, practices and documents to identify weaknesses
• Evaluate business activities (e.g. investments) to assess compliance risk
• Collaborate with external auditors and HR when needed
• Set plans to manage a crisis or compliance violation
• Address employee concerns or questions on legal compliance
• Keep abreast of internal standards and business goals

• Proven experience as a Compliance and Auditing Analyst or Compliance Officer
• Familiarity with industry practices and professional standards
• Excellent communication skills
• Integrity and professional ethics
• Teamwork skills

• Bachelor’s degree in Finance, Accounting, Business Administration, or a related field.
• 1–3 years of experience in banking, financial services, or regulatory compliance.
• Familiarity with federal and Texas state banking regulations.
• Strong analytical, organizational, and communication skills.
• Proficiency in Microsoft Office (Word, Excel, Outlook).

• Experience with compliance management systems or audit software.
• Certifications such as CRCM (Certified Regulatory Compliance Manager), CAMS (Certified Anti-Money Laundering Specialist), or similar.
• Prior experience with community or regional banks or primary regulatory agency.