Compliance - Testing/Monitoring
This team is on a mission to transform small business ( "SMB ) lending. Imagine a world where customers can access funding in hours whenever they need it. And then, imagine a world where we help SMBs make the right decision about when to take funding, how much to take, and what type. We’re working to make this a reality. This company recently became an SBA Paycheck Protection Program (PPP) lender. We are helping our SMBs access relief funds using technology and data to simplify the process.
The Compliance Contractor will report to the Head of Product Compliance for this company and will design/execute monitoring and contribute to the enhancement of our compliance processes and systems. This role is 100% remote working with a team based in California.
” Design and implement compliance testing reviews in order to assess and review compliance with legal, regulatory and internal policy/procedure requirements.
” Communicate issues and recommendations to the Compliance Business Partner and Business Management.
” Prepare and distribute reports to Senior Management detailing test scope, findings and recommendations.
” Validate issues and perform remediation testing
” Assist in test plan development based on the results of the annual compliance risk assessment
” Assist in remediation of findings.
” Work with engineering to create performance monitoring and reporting.
” Bachelor’s Degree with 3+ years professional experience
” CFE, CIA, CRCM, or other professional certifications preferred.
” 3+ years’ experience in Audit or Compliance preferred.
” Knowledge of commercial or consumer lending, including familiarity with applicable federal and state regulations, such as ECOA, FCRA, TILA, FDCPA, UDAP, GLBA/Privacy, OFAC and 3rd party vendor management.
” Ability to understand laws/regulations/policies and execute testing based on those requirements.
” Ability to work independently self-starter, enthusiastic and highly motivated.
” Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment
” Excellent communication, interpersonal and writing skills. Strong organizational skills and attention to detail.
” Help drive the mindset that Compliance is a strategic advantage, enabling growth and customer delight.
Bachelor’s Degree with 3+ years professional experience
Required Skills: FCRA, GLBA, LENDING, OFAC, BUSINESS MANAGEMENT
Additional Skills: OPERATIONS, ORGANIZATIONAL SKILLS, PROBLEM SOLVING, SELF-STARTER
VENDOR MANAGEMENT, AUDIT, CIA, REMEDIATION, RISK ASSESSMENT, TEST PLAN
|Compliance Contractor Licensing and Exam Management|
|Lending Operations Contractor|