Backed by SoftBank VF, ICONIQ and Menlo.
About the role
The Sr. Associate, Compliance Advisory partners with Complaints, Product, Operations, and other business teams to provide compliance guidance as a second line of defense. The role supports consumer complaint oversight, new and existing product operations advisory, agent readiness, member- and agent-facing communications, and process improvement while identifying consumer and regulatory risks and helping drive issues through remediation and implementation.
What they're looking for
- 5+ years of compliance experience in fintech, banking, or financial services, including meaningful work supporting consumer financial products and a track record of operating with a high degree of independence
- Direct, hands-on experience with deposit accounts and credit products
- Hands-on experience with consumer complaints and complaint-program management and oversight
- Strong regulatory knowledge, with the ability to interpret applicable regulations and translate them into practical, risk-based guidance for products, processes, and member experiences
- A sharp instinct for risk identification, escalation, and remediation — and the persistence to see issues through to closure
- Experience supporting regulatory exams, bank partner reviews, or internal audits
More about this role
The Sr. Associate, Compliance Advisory partners with Complaints, Product, Operations, and other business teams to provide compliance guidance as a second line of defense. The role supports consumer complaint oversight, new and existing product operations advisory, agent readiness, member- and agent-facing communications, and process improvement while identifying consumer and regulatory risks and helping drive issues through remediation and implementation.
The base salary offered for this role and level of experience will begin at $101,000.00 and up to $140,000.00. Full-time employees are also eligible for a bonus, competitive equity package, and benefits. The actual base salary offered may be higher, depending on your location, skills, qualifications, and experience.
- Advise the first line of defense on complaint-management requirements, regulatory expectations, and industry best practices.
- Review complaint-handling processes, procedures, controls, and documentation; identify gaps and recommend remediation, maintaining ownership of the issue lifecycle from informing the business of identified gaps and recommendations through completed remediation and implementation.
- Recommend...
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