Job Description

Compliance Officer

Benefits:

Quarterly Bonus, Monthly Bonus, Gym Membership (Equinox), Health Insurance, and 401K.

Position Overview:

The Compliance Manager will help oversee the Company’s Compliance program and will assist the Company’s head of Compliance in maintaining, updating, and implementing its Compliance Management System. This position ensures that the Company and its employees are in compliance with the rules and regulations of regulatory agencies concerning financial services and online marketing, and that the Company is abiding by its internal policies and procedures.

Essential Duties and Responsibilities include the following:

• Assists in the maintaining and implementing the Company’s Compliance Management System.
• Communicates identified compliance risks to the head of Compliance.
• Assist in Compliance trainings.
• Helps to coordinate the distribution of compliance information regarding all aspects of regulatory compliance.
• Collaborates with other departments (i.e. Marketing; Lender/Client Services; Business Operations; HR) regarding compliance related issues. Review marketers' websites for potentially non-compliant language and violations and suggest alternative language.
• Assists the head of Compliance in the development and updating of policies and procedures as needed.
• Assists in the preparation of action plans resulting from regulatory updates, and audits and examinations.
• Works as a compliance team member to help manage the formal monitoring program.
• Attends seminars, workshops, and conferences to expand knowledge of compliance requirements.
• Researches financial services and marketing laws (state and Federal) as applicable to the Company’s operations.
• Review Company marketing materials to ensure compliant language and required disclosures.
• Completes compliance-related requests from vendors (i.e. due diligence Questionnaires)

Education & Experience - REQUIRED. Please do not apply if you do not meet the following requirements.

• Minimum Education Level : Bachelor's Degree. (A J.D. is preferred).
• Minimum Years of Experience : 1 year of experience in compliance-related skillsets required.
• Combination of Experience and Education can meet the job requirements : Yes. If you do not have compliance-related experience, experience in the financial services industry may be sufficient. A J.D. will also be considered in place of experience.

Computer/Systems Knowledge Requirements

• Microsoft Outlook; Microsoft Word; Microsoft Excel; Microsoft PowerPoint.

Job Qualifications/Requirements

Communication skills:

• Excellent written and oral communication skills; ability to communicate effectively and project a professional image when giving and taking information in writing, in person, and over the phone.
• Ability to respond effectively to vendor questions and complaints.
• Ability to make effective and persuasive speeches and presentations on compliance-related matters including data-security, privacy, and compliance management policies and procedures.
• Ability to communicate effectively with customers, colleagues, regulators and auditors.
• Good oral communications skills.

Reasoning Skills:

• Excellent analytical skills including the ability to define problems, collect data, establish facts, and draw conclusions.
• Basic knowledge of the requirements of a functioning compliance program.
• Good people skills (greeting, politeness, genuine smile, careful listener).
• Good analytical skills.
• Ability to follow directions.
• Knowledge of TCPA; FCRA; ECOA; GLBA; UDAAP; etc. highly preferred.
• Basic knowledge of financial services, online lending, and marketing is preferred.

Computer Skills:

• Accurate typing/keyboarding skills; basic computer skills, including the use of word processing, spreadsheet software applications, and e-mail.
• Functional PC skills and ability to learn specific programs used by department.
• Ability to operate a PC using applicable software programs.

Job Type: Full-time

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