Compliance Lead, Testing

Overview

This role supports the Compliance team’s compliance program as a second line of defense. The Compliance Lead will help administer the Compliance Testing Program by conducting compliance reviews, identifying regulatory gaps and deficiencies, and partnering cross-functionally to resolve issues and strengthen internal controls.

Responsibilities

• Perform ongoing compliance testing and reporting on adherence to the compliance program and federal/state regulatory requirements.
• Work closely and cross-functionally with Compliance, Legal, Risk, Product, and other teams to complete reviews.
• Support a fast-paced business environment while producing diligent, detailed work product under tight deadlines.
• Collaborate with management to identify improvements to existing processes or propose new processes to strengthen internal controls.
• Coordinate execution of the compliance risk assessment and control inventory, including collecting and documenting results.
• Serve as a regulatory compliance expert, including how compliance requirements apply to new and/or revised products and services.
• Continuously improve internal compliance processes related to the Compliance Testing Program.

Requirements

• 5+ years of professional work experience in Compliance Testing, or Audit.
• Knowledge of applicable laws, regulations, financial services, and regulatory trends impacting the business.
• Experience completing end-to-end compliance testing activities.
• Strong communication and relationship management skills.
• Inquisitive and proactive approach, including proposing creative and effective solutions and adapting in a fast-paced environment.
• Strong project management, critical thinking, and analytical skills.
• Excellent verbal and written communication skills, with the ability to present complex and sensitive issues clearly.
• Proficient computer navigation skills using multiple software packages, including Google Docs, word processing, spreadsheets, and presentations.
• Detail oriented, thorough, and well organized.

Preferred Qualifications

• Not specified.

Compensation & Benefits

• Base Pay Grade: J
• Equity Grade: 5
• Employees new to the organization typically come in at the start of the pay range.
• Base pay range (CA, WA, NY, NJ, CT) per year: $130,000 - $180,000
• Base pay range (all other U.S. states) per year: $115,000 - $165,000
• Base pay is part of a total compensation package that may include:
  • Equity rewards
  • Monthly stipends for health, wellness, and tech spending
  • Benefits, including 100% subsidized medical coverage, dental and vision for you and your dependents
• Employee stock purchase plan (ESPP) lets you buy stock at a discount.

Additional benefits highlights:

• Health coverage at no cost: 100% of premiums for employees and their dependents
• Monthly spending stipends for tech setup and health/wellness options
• Flexible time off and generous holiday calendars

Location

• Remote-first with flexibility built in.
• Most roles can be done from almost anywhere within the country of employment.
• Some positions may occasionally require in-person work at an office, and a few may be office-based.
• All new hires will be invited to attend an in-person onboarding experience.

Important notes:

• Visa sponsorship is not available for this position.
• For positions based in San Francisco or Los Angeles: qualified applicants with arrest and conviction records will be considered as required by law.