Senior Compliance Analyst - Due Diligence

SWBC Client Due Diligence Support Specialist

SWBC is seeking a talented individual to support the client due diligence response process. This position interfaces directly with the sales teams, clients, and executive management and requires an initiative-taking individual with the ability to develop and maintain positive working relationships. This position is an excellent growth opportunity to expand knowledge of SWBC products and services, gain knowledge of the compliance governance framework, build networking skills across SWBC product lines, and gain experience interfacing directly with clients to support their due diligence requests.

In this role, you will be working with top business professionals in the financial services industry in a growth-mode environment. This team works closely with SWBC stakeholders at all levels and is supported by a strong team of leaders that recognizes that empowerment, autonomy, work-life balance, professional development, continuous improvement, and a commitment to shared values are key enablers of success. We work hard, take care of each other, and deliver positive outcomes daily.

Essential duties include the following :

• Acts as the main point of contact for the receipt and fulfillment of client, regulator, and vendor requests for due diligence materials to support third-party review of SWBC. SCA tracks and prioritizes requests for follow-up and coordinates with sales and process owners to ensure the timely fulfillment. Receives and processes compliance general due diligence questionnaires and document requests from inception through delivery of finished request. Works with different business lines to fulfill due diligence requests.
• Reviews and analyzes client, vendor, or regulatory requests; coordinates with the appropriate internal experts to respond; and requests supporting documentation if required. Receives requests and sends general due diligence packages. Identifies and determines the type of request and the products involved and accommodates responses accordingly.
• Manages and updates Compliance Due Diligence Logs and establishes delivery dates for the client, based on prioritization of the different requests. Monitors and follows up with requested information from multiple parties. SCA is responsible for maintaining documentation delivered to the financial institutions. Prioritizes workload to meet SLAs negotiated with the business lines.
• SCA will work with compliance leaders and IT to improve processes and automate redundant tasks. Integrate innovative technologies into the compliance processes and initiate process improvement projects and automation opportunities to streamline processes and reduce response cycle times.
• Communicates and meets with account managers, sales personnel, HR, corporate security, and outside parties to complete requests, all the while fostering and maintaining professional relationships with all contacts.
• Provides support to the Director of Compliance Governance & Client Due Diligence in the furtherance of the client due diligence process. Supports Compliance personnel and any projects generated.
• Works independently with third-party vendors to obtain and provide updated statements for yearly third-party due diligence packages. Works independently with SWBC stakeholders to update annual due diligence packages.
• Follows up on client questions generated by due diligence package, investigates and responds in a timely manner.
• Help drive continuous improvement in program effectiveness, updates policy documents, presentations, and compliance support materials.
• In response to IT Security incident questions and SWBC Regulatory Compliance questions received from clients, tracks and works with SWBC partners such as IT and Compliance leaders to prepare SWBC statements regarding IT security incident questions or communication of regulatory updates to clients.
• Coordinates with integrated technology partners to compile annual due diligence packages for common clients.

Serious candidates will possess the minimum qualifications :

SWBC offers :

SWBC is a Substance-Free Workplace and requires pre-employment drug testing. Please note, SWBC does not hire tobacco users as allowed by law.