Compliance Officer

2 months ago

New York, United States New Start Capital Full time

New Start Capital is seeking a detail-oriented Compliance Officer to monitor and enforce adherence to regulatory requirements, particularly within the debt modification industry. The Compliance Officer will play a critical role in maintaining the company’s regulatory compliance by reviewing internal processes, monitoring client interactions, and developing policies to ensure all operations meet applicable legal and regulatory standards. This individual will be responsible for listening to customer calls to ensure they meet compliance guidelines, as well as creating, reviewing, and updating company policies. The Compliance Officer will also monitor changes in relevant laws and regulations, ensuring the firm adapts promptly to remain compliant.


Key Responsibilities

Monitor Client Calls

  • Review and listen to recorded client service and sales calls to ensure they comply with regulatory and internal guidelines.
  • Identify potential compliance risks in call interactions and report findings to the compliance leadership team.
  • Provide feedback to department managers on compliance issues identified in calls and suggest necessary improvements.

Policy Development & Review

  • Draft, review, and update internal compliance policies to ensure they are in line with federal, state, and industry-specific regulations.
  • Collaborate with the VP of Compliance & Risk Management to ensure all policies align with company goals and regulatory expectations.
  • Communication of policy changes effectively to relevant departments and ensure their implementation through regular training sessions.

Regulatory Monitoring

  • Stay up to date with relevant laws and regulations related to debt modification and settlement, including but not limited to TSR, UDAAP, FDCPA, TCPA, and state-specific regulations.
  • Proactively assess new regulations or updates, interpreting their impact on the company’s operations and policies.
  • Advise senior leadership on any necessary changes to processes or policies to ensure ongoing compliance.

Audits & Reporting

  • Conduct periodic internal audits of business practices, client documentation, and communications to ensure regulatory compliance.
  • Prepare detailed compliance reports and present findings to the VP of Compliance & Risk Management.
  • Implement corrective actions for identified compliance issues and monitor progress until resolution.

Document Management

  • Maintain accurate records of compliance-related documents, including audit reports, policy changes, and regulatory updates.
  • Ensure that all client communications are properly documented in the CRM system and accessible for future reference in audits.

Continuous Improvement

  • Regularly assess the effectiveness of the company’s compliance program and recommend improvements where necessary.
  • Work with the VP of Compliance to update procedures and guidelines in response to evolving industry standards or regulations.
  • Serve as a subject matter expert for compliance-related questions and concerns raised by other departments, providing clear guidance.


Qualifications

  • Bachelor’s degree required. JD preferred
  • 2 years of experience in banking financial services, hedge funds or asset management
  • 3+ years of experience in compliance, preferably at a small to mid-sized financial services institution.
  • Strong attention to detail and analytical skills.
  • Understanding of debt modification regulations.
  • Strong understanding of relevant regulations such as TSR, UDAAP, FDCPA, TCPA, and debt modification-specific laws.
  • Strong written and verbal communication skills, with the ability to translate complex regulations into clear policies.


Compensation:

$80,000 to $110,000 annually


Schedule: In-Office, Monday – Friday, 9am to 6pm

 

Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the key duties and responsibilities of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform critical tasks.

 

Environment: Work performed primarily in a standard office environment with staff contact and frequent interruptions.

 

Physical: Primary functions require sufficient physical ability and mobility to the work in a standard office setting; to stand or sit for prolonged periods of time; occasionally stoop, bend, kneel, crouch, reach, and twist; to list, carry, push, and/or pull light to moderate (up to 20 pounds) amounts of weight; to operate office equipment requiring repetitive hand movement and fire coordination including use of a computer keyboard; may be required to travel to other locations using various modes of private and commercial transportation; and to verbally communicate to exchange information.

 

Vision: Ability to see in the normal visual range with or without correction.

 

Hearing: Ability to hear in the normal visual range with or without correction. 

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