Compliance Specialist

Role Overview

• Coordinate regulatory examinations by preparing the initial request list documentation, compiling loan files, and responding to additional requests.
• Manage regulatory complaints, including conducting thorough investigations, gathering all necessary documentation, and preparing timely, well-supported responses.
• Support compliance audits by coordinating responses to initial request list documentation, compiling loan files and addressing and escalating follow up requests.
• Assist in the maintenance and revision of company compliance policies and procedures.
• Execute internal controls testing, assisting in the identification of risks within the organization, testing associated controls, and reporting on the results.

Requirements

• Proven experience in a compliance, legal, or operational role, preferably within the financial services, fintech, or automotive lending industry.
• Demonstrated ability to investigate, manage and draft responses to complaints, examinations, and audits.
• Knowledge of federal and state consumer financial protection laws (e.g., TILA, ECOA, FCRA, UDAAP, GLBA).
• Strong written and verbal communication skills, with the ability to articulate issues clearly and concisely.
• Excellent organizational skills, attention to detail, and a proven track record of managing multiple time-sensitive projects simultaneously.
• Responsible for performing analysis on compliance activities and generating reports for stakeholders.
• Bachelor’s degree; Relevant professional certification (e.g., CAMS, CRCM) or masters degree, a plus.
• Experience in handling and responding to legal requests, a plus.
• Minimum experience of one to three years.