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Compliance Analyst



TMX Finance Family of Companies
November 6, 2020
Savannah, GA
Job Type



The Compliance Analyst is a valued member a sharp, dedicated, and proactive team of compliance professionals and joins the compliance team as a whole in implementing a comprehensive compliance management program that adheres to federal, state and local laws. The Compliance Analyst, as part of the state compliance team, serves a critical role in working closely with our field personnel, corporate personnel and regulatory authorities to resolve compliance issues and mitigate compliance risks, allowing our business to continue to grow and move forward toward innovation. Your knowledge of compliance practices at the federal, state, and local levels will allow you to have significant involvement with operational processes and software applications.

Essential Responsibilities

  • Develop and maintain effective and positive working relationships with related business units (including, in particular, Product, Operations and Internal Audit) to ensure a strategic partnership approach to compliance risk management while also partnering with peers on compliance and other special projects
  • Independently monitor and respond to field inquiries such as document correction requests, policy/procedures clarifications, wrongful recoveries, deceased borrowers, damaged vehicles, missing inventory, seizures, settlements, fraud/theft issues, and general questions submitted to the Compliance email inbox
  • Partner with field leadership by participating in period field management meetings, providing updates on state-specific issues, concerns or recent changes, providing field coaching and training to support better compliance by field personnel
  • Effectuate compliance strategies, develop and maintain methods to track compliance with policies and procedures, make recommendations for improvement, and support a comprehensive compliance management program.
  • Develop and maintain expertise in applicable federal laws and regulations applicable to the company’s products, as well as expertise in state and local laws and regulations for assigned states, and support compliance with federal, state and local law by:
  • Maintaining professional relationships with state regulatory authority personnel for assigned states;
  • Reviewing state examination reports for assigned states and respond in writing to all those that require follow-up;
  • Independently communicating with state regulators on any issues requiring follow-up and maintain detailed files of same;
  • For regulatory examinations that escalate to an adversarial status, support legal/outside counsel in efforts to resolve issues;
  • Assisting licensing team if necessary on matters related to licenses for assigned states;
  • For assigned states, creating and updating product/customer documents, disclosures, state rate schedules, etc. and maintaining library of current and archival product/customer documents; and
  • Reviewing samples of monthly field management audits for compliance issues and, based on such reviews and through observation and process experience, assess store training needs, develop recommended action plans to reduce or eliminate future risk of violations and work with the Compliance Manager and field leadership to execute on such plans
  • Participate in the development of business requirements for new products and product enhancements, including, as requested, software testing of products and controls, quality assurance, reporting, defect remediation, data dumps, static pool analysis, etc.
  • Research and analyze various federal, state and local laws and regulations, and track and maintain current compliance and regulatory developments that affect the consumer financial services industry
    • Perform basic risk assessments and root cause analyses and help prioritize, develop and implement corrective measures and compliance projects
    • Assess potential impact on business processes and procedures and advise on best practices to implement to remain compliant with fast-paced regulatory expectations
  • Identify opportunities to enhance the effectiveness of departmental policies and procedures, software controls, and additional training needs
  • Support the overall orderly maintenance of records and the compliance with legal and internal record retention requirements at all times
  • Collaborate with internal audit team in audit and review of corporate and business unit operating activities to promote the implementation of internal compliance controls where necessary and validate that existing controls are functioning as required
  • Support overall Legal and Compliance Department activities in developing creative solutions to business objectives to assist in driving business results that appropriately consider compliance
  • Participate in other ad hoc projects and initiatives, including for litigation

Minimum Qualifications

  • Bachelor’s Degree is strongly preferred
  • 1-3 years of compliance, legal, and/or operations experience in a consumer finance-focused environment (CRCM or CCEP a bonus)
  • Very strong written and oral communication skills
  • Ability to successfully manage through independent judgment and discretion, various compliance projects and programs from conception to successful implementation
  • Standing, walking, sitting, repetitive movements, and use of mechanical controls, such as keyboard, are frequently required 


The Compliance Analyst is part of the Legal and Compliance Department, which is united by a commitment to act at all times with honesty and integrity. This team provides a range of legal and compliance services to all of our store brands and corporate departments, always protecting our strategic interests. In addition, they lead the way in promoting lawful and business conduct and in applying strong ethical standards and compliance with all federal, state, and local obligations across every product, service, and initiative we push forward. To learn more about the Legal and Compliance Department, visit

To find out what's going on in the Company, visit our blog at

All TMX Finance® Family of Companies are Equal Opportunity Employers.



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