Senior Associate, Compliance Advisory
Core
Senior Associate providing second-line-of-defense compliance guidance on consumer complaints, product operations, and regulatory risk remediation for a fintech financial services company.
Role type
Senior Associate, Compliance Advisory (Second Line of Defense)
Builds
Consumer complaint oversight processes, product compliance guidance, agent readiness materials, and risk remediation plans.
Domain
Fintech / Consumer Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure
Required skills
Consumer complaint program management, regulatory interpretation (Reg Z, E, DD, UDAAP, NACHA, VISA), risk identification and remediation, data analysis, AI tooling proficiency, process documentation, executive reporting
Preferred skills
Deposit account and credit product experience, regulatory exam support, cross-functional stakeholder management, automation implementation
Technologies
AI tools for data analysis and reporting, complaint dashboards
Responsibilities
Advise first line of defense on complaint management requirements and regulatory expectations; Review and improve complaint-handling processes and controls; Identify and remediate consumer and regulatory risks; Support new product compliance and agent readiness; Analyze complaint trends and present findings to stakeholders; Apply AI tools to accelerate compliance workflows and data analysis.
Seniority
Senior, hands-on IC
