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Sr.Compliance Analyst, (Audit) Job

Sr.Compliance Analyst, (Audit) Job

Job Description

Qualifications & Responsibilities


Conduct regulatory compliance testing to assess risk, evaluate internal business processes as they relate to compliance activities, and analyze operating procedures. Follow testing procedures and guidelines and develop testing steps where necessary (with appropriate supervision). Document weaknesses and other problems resulting in heightened business risk, while recommending solutions to such situations.



Under the general guidance of a Testing Specialist:

•         Directly supervise Analysts or other Senior Analysts during testing if necessary. 

•         Develop strategy and timing of testing and present to Specialist for approval. 

•         Assist in the planning and execution of regulatory compliance testing.

•         Obtain, analyze, and appraise information as a basis for an informed, objective conclusion on the adequacy and effectiveness of the system and the efficiency of the performance of the activities being reviewed.

•         Support additional testing in areas identified for improvement in conjunction with Compliance management.

•         Prepare work papers in compliance with internal testing policies to describe test steps, document testing results, and communicate the conclusion of testing accurately.

•         Evaluate testing observations to improve policies, procedures, efficiency and controls.

•         Present observations to the Compliance Advisory contact and business owners and lead meetings with minor direction from Specialists or Management. 

•         Assist in other aspects of completing the testing plan such as identification of regulatory applicability and drafting reports/memos. 

•         Aid other areas of compliance as needed (i.e. regulator exams, statement testing, web reviews, etc.)


REPORTS TO: Specialist, Compliance Testing



Education: Bachelor's Degree in Accounting, Finance or related field



•         2 or more years Compliance, Public Accounting, Internal Audit or other relevant experience

•         Knowledge of related regulatory requirements

•         Self starter, highly motivated

•         Ability to work in a team collaborative environment

•         Ability to work effectively and independently with business management

•         Prioritization skills and ability to recognize roadblocks

•         Deadline driven

•         Strong written and oral communication skills

•         Demonstrated analytical and problem solving skills

•         Familiarity with Word and Excel required; ACL and PeopleSoft a plus

Job Requirements

Retail Pay Statement

Alliance Data offers a competitive salary, a comprehensive selection of benefit options including 401(k).

Retail Conditions of Employment

All job offers are contingent upon successful completion of credit and background checks.

Retail Services

Let's face it; it's a brand loyal world we're living in, which is why Alliance Data Retail Services offers integrated private label and co-brand credit card programs enhanced by integrated marketing services. We manage over 90 credit programs for America's most recognized retailers, helping them sell more and improve customer loyalty.

About Alliance Data

Alliance Data® (NYSE: ADS) and its combined businesses is North America’s largest and most comprehensive provider of transaction-based, data-driven marketing and loyalty solutions serving large, consumer-based industries. The Company creates and deploys customized solutions, enhancing the critical customer marketing experience; the result is measurably changing consumer behavior while driving business growth and profitability for some of today’s most recognizable brands. Alliance Data helps its clients create and increase customer loyalty through solutions that engage millions of customers each day across multiple touch points using traditional, digital, mobile and other emerging technologies. Headquartered in Dallas, Alliance Data and its three businesses employ approximately 11,000 associates at more than 70 locations worldwide.

Alliance Data consists of three businesses: Alliance Data Retail Services, a leading provider of marketing-driven credit solutions; Epsilon®, a leading provider of multichannel, data-driven technologies and marketing services; and LoyaltyOne®, which owns and operates the AIR MILES® Reward Program, Canada’s premier coalition loyalty program. For more information about the company, visit our web site,, or follow us on Twitter via @AllianceData.

Location: Columbus, OH, US
Job: Legal
Organization: Alliance Data - Retail
Schedule: Regular
Job Type: Full-time
Job Posting: 2014-04-07
Req ID: 0062003

Job Snapshot

Employment Type Full-Time
Job Type Finance, Accounting
Education 4 Year Degree
Experience Not Specified
Manages Others Not Specified
Industry Other Great Industries
Required Travel Not Specified
Job ID 0062003
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Sr.Compliance Analyst, (Audit) Job

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