Oversee and execute critical aspects of the company's compliance management system
Implement and maintain compliance policies, procedures, and controls across business lines
Directly perform compliance testing and monitoring activities
Manage and participate in the compliance risk assessment process
Conduct compliance risk assessments across business lines
Develop and execute test plans to assess compliance with laws, regulations, and internal policies
Personally monitor compliance controls and key risk indicators
Identify compliance gaps and lead remediation efforts
Develop and track key risk indicators and performance metrics
Prepare and present compliance reports for senior management
Analyze compliance data to identify trends and emerging risks
Stay abreast of regulatory changes and assess their impact on the business
Update policies and procedures to reflect regulatory changes
Collaborate with legal and business teams to implement compliance changes
Manage and execute day-to-day operations of the BSA/AML compliance program
Conduct BSA/AML risk assessments and enhance the program as needed
Ensure consumer protection practices are embedded in daily operations
Review consumer complaints analysis and implement corrective actions as necessary
Manage the compliance issues tracking and resolution process
Investigate and document compliance issues or violations
Develop and implement corrective action plans

Bachelor's degree in Business, Law, or related field
5-7 years of experience in compliance, with a mix of strategic and hands-on operational roles
Strong knowledge of financial services regulations, particularly in fintech and consumer lending
Proven ability to both lead projects and perform detailed individual work
Excellent analytical, problem-solving, and decision-making skills
Strong written and verbal communication abilities
Proficiency with compliance management systems and databases
Ability to work independently, manage multiple priorities, and adapt to changing needs
Comfortable in a lean team environment where flexibility and direct execution are essential

This role is eligible for additional incentives, including an annual bonus. These rewards are allocated based on level, impact and performance in the role.

Director of Regulatory Compliance

Key skills