Dave · 8 hours ago

Compliance Manager

United States

Full-time

Remote

Senior Level

6+ years exp

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BankingFinancial Services

Comp. & Benefits

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Responsibilities

Work directly with operations and BSA/AML and Fraud teams to support new and existing product expansion by scoping, defining and communicating product and compliance requirements for those areas.

Perform ongoing analysis and provide advisory support specific to AML/BSA, Fraud, and credit bureau reporting, including all dispute resolution processes.

Review annual BSA/AML compliance assessment for multiple Sponsor Banks and drive any required enhancements or resulting mitigation steps.

Support internal change management and documentation practices for operational areas, including Ops Risk functions, to mitigate regulatory risk and follow regulations, including aiding in the development of business operations policies/procedures and ensure implementation of compliance processes within those areas.

Oversee incoming or outgoing bank partner submissions, from the operational teams, including potentially unusual activity, to ensure regulatory expectations are met prior to submission.

Support the compliance function in defining and achieving departmental initiatives, maintaining relevant policies and procedures, developing documentation solutions, and liaising with state and federal examiners and auditors.

Build and maintain strong, collaborative relationships with internal and external partners such as the Legal, Sponsor Banks, Finance, and Ops Risk functions.

Support program governance functions such as BSA/AML committees and related annual audits.

Assist in the implementation of a testing program to determine the adequacy and effectiveness of compliance controls and develop periodic reporting on the test results.

Navigate through multiple internal tools to identify key information pertinent to case investigations, Sponsor Bank escalations, and SAR referrals.

Review, facilitate and develop action plans related to compliance risk assessments.

Assist Compliance Leadership in fulfilling information requests from third-party partners and facilitate examination/interface with regulators.

Utilize MS Excel functions (pivot tables) to analyze and establish evidence of illicit activities on customer data, other financial records and any ad hoc tasks assigned.

Assist in the development and maintenance of policies, procedures, and training programs.

Qualification

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BSA/AML complianceFraud managementOperational risk managementACAMS certificationJIRAConfluenceCredit Bureau regulationsBank partnership experienceData analysisPolicy developmentFinancial products knowledge

Required

6+ years of experience working in a compliance or risk management role.

Experience working with lending and deposit financial products and related BSA/AML/Risk/Fraud/Reg E and Credit Bureau regulations; other lending and deposit product regulatory experience a plus.

Experience in bank partnership fintech organizations as well as traditional banks.

Experience with work management tools and team collaboration platforms - we utilize JIRA and Confluence.

ACAMS certification required; other professional certifications, such as the Certified Regulatory Compliance Manager (CRCM) a plus.

Solid sense of urgency, accountability and excellent focus on attention to detail in a constantly evolving environment.

Results driven and forward thinking approach with ability to problem-solve complex issues to drive shared goals and outcomes across internal and external teams.

Ability to analyze qualitative and quantitative data to formulate meaningful insights and compile information in a structured, logical manner.