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Specialty Capital · 2 hours ago

Compliance Manager

Great Neck, NY

Full-time

Onsite

Entry Level

$95K/yr - $110K/yr

1+ years exp

Specialty Capital is seeking a Compliance Manager to support the execution and ongoing maintenance of their compliance and BSA/AML programs. This role is critical for ensuring regulatory readiness and maintaining strong controls across various operations, including lending and servicing.

FinanceFinancial Services

No H1B

Responsibilities

Support the day-to-day operation of Specialty Capital’s Compliance Management System (CMS)

Maintain and update compliance policies, procedures, risk assessments, and applicability matrices

Assist with preparation of materials for bank partner due diligence, audits, and ongoing monitoring

Support compliance oversight across applicable laws and regulations, including: ECOA / Regulation B, FCRA / FACTA, TILA / Regulation Z, UDAAP / UDAP, CAN-SPAM, TCPA / TSR, E-SIGN, ADA, SCRA, Applicable state lending and disclosure requirements

Track regulatory changes and assist in assessing applicability and operational impact

Support execution of compliance monitoring and testing plans, including documentation of results and remediation tracking

Support the execution of Specialty Capital’s BSA/AML/CFT program, including: Customer Identification Program (CIP), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD), Beneficial ownership documentation, OFAC screening support

Assist in maintaining BSA/AML policies, procedures, and risk assessments

Support SAR-related documentation and escalation processes (as applicable)

Maintain BSA training records and assist with employee training coordination

Support bank partner and auditor requests related to BSA/AML controls

Assist with review, maintenance, and version control of: Loan agreements and promissory notes, Adverse Action Notices, Privacy Notices, Applicant and guarantor disclosures

Help validate the accuracy and consistency of disclosures generated by internal systems and third-party vendors

Support the complaint management program, including logging, tracking, and trend analysis

Assist with issues management, ensuring corrective actions are documented, tracked, and completed

Help incorporate prior audit findings and regulatory feedback into ongoing monitoring activities

Support compliance aspects of third-party risk management, including: Vendor due diligence and onboarding documentation, Review of SOC reports, certifications, and compliance artifacts, Tracking ongoing monitoring requirements

Coordinate with Operations, Legal, and IT on vendor compliance obligations

Assist in coordinating compliance and BSA/AML training for employees and contractors

Maintain training schedules, logs, and completion records

Prepare compliance summaries and reporting for internal leadership and bank partners

Qualification

BSA/AML complianceRegulatory complianceCompliance Management SystemsRisk assessmentVendor managementOrganizational skillsCross-functional collaborationAttention to detail