We are representing an established financial services organization in their search for an experienced compliance and audit professional.
Why Join Us:
• Innovative and high-growth Fintech serving the underserved marketplace – you will be part of a mission-driven organization bringing much-needed income and economic development
• Unique opportunity to oversee and mold a compliance program for a high growth Fintech company
Responsibilities:
• You will be a key member of the Legal and Compliance team, reporting to the Chief Legal Officer; this important role will regularly interact with the entire leadership team and it will have an opportunity to make changes that fundamentally impact and improve how the organization serves its customers
• Acquire an in-depth understanding of products and processes to scope your compliance/audit program properly
• Lead, mentor, and grow a team of high-performing internal compliance/audit professionals
• Organize, manage, and execute a thorough and well-run internal compliance/audit program covering both operational quality assurance and regulatory compliance
• Use a customer-centric approach to oversee operational quality assurance, monitoring customer communications to improve customer service
• Work with the legal and management teams to develop and implement a risk-based internal compliance/audit plan
• Issue internal audit reports and recommendations that are clear, concise, and identify root causes with practical solutions; manage the process to track, follow-up, and ultimately close all open audit issues
• Follow established professional standards and remain abreast of emerging trends, best practices, and regulatory developments
• Manage compliance training process for all staff
• Work with legal staff to manage internal policy and procedure library, and assist all departments in the creation and improvement of their internal control documents
• Proactively inform the Chief Legal Officer and leadership of significant risks or exposures related to internal controls, compliance, and/or governance requiring prompt attention
• Be deeply familiar with applicable regulations (e.g. EFTA, ECOA, FCRA, GLBA, SCRA, TILA, MLA, among others)
Qualifications:
• Essential Education: Bachelor’s Degree
• Prior applicable experience managing compliance, audit and quality assurance teams (8+ years)
• You will bring several years of senior level financial company experience including demonstrable exposure to an equivalent financial compliance role
Application Process for Director Compliance and Audit
Qualified professionals are to submit resume to Steve Harrison: steve@conselium.com
