Compliance Senior Associate

The Role

The Compliance Senior Associate reports directly to the Compliance Officer and supports the execution and maintenance of the Bank's Compliance Management System (CMS). This role assists with compliance monitoring, regulatory risk assessments, policy maintenance, issue remediation tracking, complaint management, and oversight activities across the Bank's products, services, and fintech partnerships. The ideal candidate is detail-oriented, analytical, and interested in building a career in regulatory compliance within a dynamic banking environment.

Responsibilities

• Assist with execution of the annual Compliance Monitoring and Risk Assessment Plan.
• Perform compliance monitoring reviews and testing across deposit, lending, and operational business functions.
• Support compliance oversight activities related to Banking-as-a-Service (BaaS) and fintech partner programs.
• Review policies, procedures, disclosures, and operational processes to identify potential compliance risks.
• Assist with remediation tracking, issue validation testing, and follow-up activities related to audits and examinations.
• Support the intake, tracking, and resolution of consumer complaints and regulatory inquiries.
• Maintain compliance documentation, testing workpapers, and management reporting.
• Research regulatory requirements and assist in providing compliance guidance to business partners.
• Support compliance training initiatives and awareness programs across the Bank.
• Escalate identified compliance concerns, control gaps, and regulatory risks to the Compliance Officer.

Qualifications

• Bachelor's degree in Business, Finance, Risk Management, Legal Studies, or a related field.
• 3-5 years of compliance, audit, risk management, banking operations, or related financial services experience.
• Banking, fintech, or financial services experience preferred.
• Experience with compliance monitoring, testing, quality assurance reviews, or regulatory compliance activities preferred.
• Working knowledge of banking regulations and consumer protection requirements such as Regulation E, Regulation DD, UDAAP, and related regulatory guidance is preferred.
• Familiarity with Compliance Management Systems (CMS) and regulatory examination processes is a plus.
• Strong analytical, organizational, and problem-solving skills.
• Excellent written and verbal communication skills.
• High attention to detail with the ability to manage multiple priorities in a fast-paced environment.
• Ability to work independently and collaboratively across departments.
• Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint.
• Demonstrated professionalism, integrity, and sound judgment.

Pay and benefits

The hiring range for this position is $110,000 to $140,000 per year. The base pay actually offered will take into account internal equity and also may vary depending on the candidate's job-related knowledge, skills, and experience, among other factors. A bonus and/or incentives may be provided as part of the compensation package, in addition to the full range of medical, dental, vision, 401k, and other benefits.