Compliance Monitoring & Testing Analyst (Full Time)

Prosperity Bank; Plano (TX); On-site; USD 65,000 - 90,000; Full time

Job summary

Prosperity Bank is seeking a Compliance Monitoring & Testing Analyst to perform regulatory reviews, testing, and monitoring of bank processes to ensure compliance with federal and state laws. The role focuses on accuracy, documentation, and timely reporting of findings.

The position emphasizes developing corrective action plans, tracking progress, and communicating effectively with business units to maintain regulatory alignment across deposits and loans.

Qualifications

• In-depth knowledge of banking regulations.
• Minimum 5+ years’ related experience.
• Strong analytical and regulatory review skills.

Responsibilities

• Review and test bank processes for regulatory compliance.
• Prepare analyses and reports with recommended corrective actions.
• Follow up on prior findings to verify corrective actions.
• Develop and manage tracking for corrective actions.
• Review regulatory changes and assess impact on units and branches.
• Recommend changes to internal policies and procedures based on testing results.
• Review bank advertisements for regulatory compliance and coordinate with marketing.
• Act as SME to assist associates with remediation actions.
• Assist with other compliance projects as assigned.

Skills

Analytical

Detail-oriented

Communication

Organization

Problem-solving

Education

College degree

Tools

MS Word

MS Excel

Job description

If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process.

Compliance Monitoring & Testing Analyst (Full Time)

COMPLIANCE ASSOC Full Time Analyst Non-Exempt Amarillo, TX, US

3 days ago Requisition ID: 11299

Prosperity Bank is an Equal Opportunity Employer.

POSITION PURPOSE

Responsibilities include review, testing and monitoring of bank processes to confirm regulatory compliance in accordance with the Bank’s compliance management system.

ESSENTIAL FUNCTIONS AND BASIC DUTIES

• Perform compliance review and testing of deposit and/or loan products and services to ensure compliance with applicable federal and state laws and regulations.
• Prepare analysis and reports of findings including recommended corrective action items.
• Perform follow up review of previous findings to ensure corrective action items have addressed noted compliance issues.
• Development and management of corrective action items tracking and follow up procedures to insure appropriate implementation.
• Review of regulatory changes to ensure in depth understanding of how changes will impact business units and banking centers.
• Recommend changes to internal policies and procedures in connection with results of compliance testing and review.
• Review bank advertisements to ensure compliance with applicable regulations. Provide feedback and suggestions to the marketing department and maintain documentation of all approvals.
• Serve as subject matter expert to assist associates with implementation of corrective action items.
• Assist with other compliance projects as assigned.

The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this job description amended at any time.

SUPERVISORY RESPONSIBILITIES:

This role has no supervisory responsibilities.

QUALIFICATIONS

Education/Certification:

College degree

EXPERIENCE REQUIRED:

In depth knowledge of banking regulations

Minimum 5+ years’ experience related experience.

Experience in Quality Control and/or Internal Auditing and Compliance

SKILLS/ABILITIES:

Analytical, detail oriented and accurate

Well organized

Excellent written and verbal communication skills

Demonstrated ability to work well with associates at all levels

Strong problem-solving skills

Ability to research, interpret, and explain regulations and other compliance-related documents

PC skills including proficiency in MS Word and Excel

PHYSICAL ACTIVITIES AND REQUIREMENTS OF THIS POSITION

Finger Dexterity:

Using primarily just the fingers to make small movements such as typing,picking up small objects, or pinching fingers together.

Talking:

Especially where one must frequently convey detailed or important instructions or ideas accurately, loudly, or quickly.

Average Hearing:

Able to hear average or normal conversations and receive ordinary information.

Repetitive Motion:

Movements frequently and regularly required using the wrists, hands, and/or fingers.

Average Visual Abilities:

Average, ordinary, visual acuity necessary to prepare or inspect documents or products or operate machinery.

Physical Strength:

Sedentary work; sitting most of the time. Exerts up to 25 lbs. of force occasionally.

WORKING CONDITIONS

None: No hazardous or significantly unpleasant conditions (such as in a typical office).

MENTAL ACTIVITIES AND REQUIREMENTS OF THIS POSITION

Reasoning Ability:

Ability to apply common sense understanding to carry out detailed butuninvolved instructions and to deal with problems involving a few variables.

Mathematics Ability:

Ability to perform basic math skills, use decimals to compute ratios andpercents.

Language Ability:

Ability to read a variety of books, magazines, and instruction manuals.

Ability to prepare memos, reports, and essays using proper punctuation,spelling, and grammar.

Ability to communicate distinctly with appropriate pauses and emphasis, correct pronunciation (or sign equivalent), and variation in word order using present, perfect, and future tenses.