Compliance Assurance Manager

Summary: The Compliance Assurance Manager will play a vital role in the Compliance Department by assisting Sr. Manager with leading activities to support ongoing monitoring & testing of the Compliance Program. This person will also handle privacy queries, including data subject rights requests.

Responsibilities:

• Assist in designing a risk-based regulatory compliance monitoring & testing framework.
• Assist in developing and completing the annual Compliance Monitoring & Testing plan, ensuring coverage for existing and new regulations, changes to existing regulations, and any audit or exam findings.
• Design and evaluate the operating effectiveness of controls, assess identified findings, determine root causes, propose risk ratings in accordance with internal guidelines and standards, and draft recommendations and reports.
• Document test results and reporting metrics in GRC Tool and central repository.
• Help facilitates the assignment and execution of issue closure verification testing to ensure testing conforms to guidelines and standards, work papers are complete and accurate, and the testing is completed promptly.
• Assist in developing and documenting detailed test scripts covering the testing of controls and transactions to assess adherence to compliance/risk rules.
• Implement and present reporting of key performance and company-wide key risk indicators.
• Review and propose amendments (as needed) and implement policies, procedures, manuals, systems, and training, where appropriate, due to changes in regulation, industry practice, or otherwise.
• Identify and lead opportunities to optimize tools/technology to enable inquisitive work as needed.
• Support ongoing audits and reviews.
• Assist with other compliance initiatives as needed.
• Respond to privacy rights requests from consumers, clients, or employees promptly.

Qualifications:

• 6+ years of relevant experience in a financial services organization's risk, compliance, internal audit, or related field.
• Detailed knowledge of compliance requirements related to consumer compliance, AML/OFAC, payments, and e-money.
• Prior hands-on experience in a monitoring and testing role within Compliance Testing or Internal Audit.
• Effective communication, planning, and project management skills.
• Excellent ability to investigate, analyze, and interpret data and state and federal regulations.
• Proficient in translating business needs to technical report requirements.
• Strong ability to look at cumulative data and identify critical insights for leadership using reporting charts.
• Strong technical knowledge and fluency. Attention to detail and ability to work as part of a team and as an individual contributor.
• Familiarity with reading and interpreting regulations, laws, and statutes. Strong research skills.
• Strong partnership skills with the ability to navigate the organization and build relationships.
• Demonstrated commitment to service, organization values, and professionalism through appropriate conduct and demeanor always.
• Strong influencing skills.
• Ability to think strategically and implement tactically.
• Demonstrates ownership and accountability in leading projects.
• Ability to interact with various levels of the organization.
• Keenly focused on continuous improvement and maturity.
• Strong work ethic and problem-solving skills.
• Excellent written and verbal communication.
• Strongly proficient in standard PC programs (Word, Excel, and PowerPoint).
• This candidate must be accustomed to a fast-paced environment and think creatively to tackle groundbreaking/novel issues.

Preferred Qualifications

• Bachelor's deg.
• Compliance, Privacy, AML Certification.

The base salary range for this position is budgeted for $85,000 to $108,000, with eligibility for an annual bonus. The actual base salary offered depends on a variety of factors, including but not limited to the qualifications of the individual applicant for the position, years of relevant experience, specific and unique skills, level of education attained, certifications or other professional licenses held, business needs, and market demand. Our competitive benefits includes medical, dental, vision, wellness, 401(k) matching, unlimited PTO, work from anywhere, generous parental leave, and more! Our job titles may span more than one career level. All candidates are encouraged to apply.