Compliance Associate – Monitoring & Testing
Core
Second-line compliance testing and monitoring to ensure adherence to consumer protection laws and regulations across policies, procedures, loans, and communications.
Role type
Associate compliance tester (second-line monitoring)
Builds
Compliance testing programs and risk mitigation reports for senior management and bank partners
Domain
Consumer finance / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance testing, root cause analysis, SQL, data analysis, consumer lending regulations knowledge
Preferred skills
Paralegal certification, JD, CRCM certification, Snowflake, Tableau
Responsibilities
Plan and execute targeted transactional testing; review documentation for regulatory compliance; assess compliance risk through analysis of accounts and policies; collect data and materials for monitoring; draft reports on findings and recommendations; assist in process improvements and regulatory change monitoring
Seniority
Associate, hands-on IC