СШАERM Compliance Lead
1 мес. назад
СШАLead
risk managementcompliance managementfinancial regulation
Lead ERM compliance initiatives at to help the company grow responsibly and manage compliance risks.
Обязанности
- As a Risk & Compliance Lead at , you will play a critical role in ensuring compliance with regulatory requirements and internal policies regarding the regulatory compliance program. This role involves managing activities related to core compliance program processes and frameworks and ensuring that adheres to its regulatory and partner obligations. The role will report directly to ’s Director, Compliance Governance.
- Assist in developing and enhancing the organization’s compliance program in alignment with regulatory requirements and industry best practices.
- Assist with development, implementation, and management of compliance issue management, including issue governance, remediation oversight, reporting, workflow automation, and ongoing process improvements.
- Manage compliance reviews of new products and material changes, ensuring appropriate risk assessment, stakeholder engagement, and adherence to regulatory requirements.
- Work closely with various departments (Legal, People, GRC) to implement or enhance compliance program initiatives, such as third-party risk management
- Manage the implementation of workflow tools to support core compliance program initiatives (risk assessment, issue management, etc.)
- Assist with review, submit, and track external inquiries, including but not limited to external audit, internal audit, and bank partner requests.
- Collaborate cross functionally with internal teams to ensure timely submission of monthly bank partner reports.
- Represent in external audits and bank partner reviews.
- Manage relationships with external auditors and bank partners.
Требования
- 3+ years of experience in compliance or risk within financial services
- Working knowledge of the regulations that govern card, lending, and deposit products (Regulation B, UDAP/UDAAP, FTC rules, and Dodd-Frank) plus familiarity with BSA/AML and KYC obligations
- Experience contributing to core compliance program work: risk assessments, issue management, policy and procedure maintenance, or regulatory change management
- Exceptional communication and interpersonal skills, with the ability to collaborate effectively with bank partners, external auditors, and internal teams.
- Detail-oriented with strong organizational and project management abilities.
- A hands-on approach, concise and straightforward style
- A love for collaboration, teamwork, and delivering excellence
Будет плюсом
- Prior experience managing and/or implementing workflow tools
- Thrives as a generalist across multiple compliance program components rather than owning a single narrow lane
- Experience at a fintech or a bank that sponsors fintech programs
- Experience supporting change management or new product/material change review (NPI/change control committees, risk assessments for product launches)
- Comfort building recurring reporting and dashboards; basic data fluency (Looker, SQL, or advanced spreadsheet work) to support monthly bank partner reporting
- Professional certification such as CRCM, CAMS, CRMA, or CIA is a plus
- Proficiency in compliance management and audit software
Условия
- is the intelligent finance platform that enables companies to spend smarter and move faster in more than 200 markets. By combining global corporate cards and banking with intuitive spend management, bill pay, and travel software, enables founders and finance teams to accelerate operations, gain real-time visibility, and control spend effortlessly. ’s AI-native automation and world-class service eliminate manual expense and accounting tasks for customers so they can focus on what matters most. Tens of thousands of the world's best companies run on , including DoorDash, Coinbase, Robinhood, Zoom, Plaid, Reddit, and SeatGeek.
- Working at allows you to push your limits, challenge the status quo, and collaborate with some of the brightest minds in the industry. We’re committed to building a diverse team and inclusive culture and believe your potential should only be limited by how big you can dream. We make this a reality by empowering you with the tools, resources, and support you need to grow your career.
- The expected salary range for this role is $111,000 - $135,000 USD. However, the starting base pay will depend on a number of factors, including the candidate’s location, skills, experience, market demands, and internal pay parity. Depending on the position offered, equity and other forms of compensation may be provided as part of a total compensation package.
- LLC is a wholly owned subsidiary of Capital One, N.A.
- Please be aware, job-seekers may be at risk of targeting by malicious actors looking for personal data. recruiters will only reach out via LinkedIn or email with a .com domain. Any outreach claiming to be from via other sources should be ignored.
Другое
- The Compliance team helps the company grow responsibly, advocating for and for the tens of thousands of growing businesses we serve. We own the compliance policies for , provide strategic advice and guidance to all teams, protect from financial crime and other compliance risks, and represent the company externally on key regulatory and policy issues. Reimagining the financial system in a highly regulated environment requires creativity and resourcefulness, and we welcome the challenge.
- This role will be based in our San Francisco office. We are a hybrid environment that combines the energy and connections of being in the office with the benefits and flexibility of working from home. We currently require a minimum of three coordinated days in the office per week, Monday, Wednesday and Thursday. As a perk, we also have up to four weeks per year of fully remote work!