Fintech Compliance Lead

2 weeks ago

Decatur, United States Legend Bank Full time

PRIMARY FUNCTION

The Fintech Compliance Lead will support our mission to provide BaaS in a safe, sound, and compliant manner while also working to identify, monitor, investigate & report incidents. Supporting our risk and control programs, you’ll help create documents and processes for consistent risk management, ensure BaaS operations compliance alignment to policies and contract terms, support due diligence on partners and prepare regulatory reports.

ESSENTIAL DUTIES AND RESPONSIBILITIES


COMPLIANCE MONITORING AND INCIDENT RESPOSE

  • Daily management of the Bank’s BaaS compliance program ensuring compliance with applicable laws, regulations, and industry standards.
  • Monitoring partner activities and practices for compliance, researching and resolving concerns, and maintaining comprehensive compliance-related records.

RISK MANAGEMENT AND AUDITS

  • Conduct risk assessments in BaaS operations and partnerships to identify potential compliance risks and vulnerabilities, recommending and implementing measures to appropriately mitigate identified risks.
  • Support due diligence on BaaS partners to ensure compliance standards are met.
  • Assist audit teams in conducting compliance reviews, providing necessary documentation and support to facilitate audits.
  • Collaborate with various departments within the bank, including legal, risk management, and operations, to ensure coordinated efforts in maintaining compliance standards. Communicate compliance requirements and updates to relevant stakeholders as needed.
  • Effectively communicate complex regulatory requirements to coach fintech partners on regulatory requirements in order to achieve satisfactory compliance processes within the fintech’s products, services, and systems.

POLICY & PROCEDURES DEVELOPMENT & MAINTENANCE

  • Assist fintech partners with creation and maintenance of policies, procedures, disclosures, and more.
  • Assist in the review of marketing materials.
  • Assist in developing and maintaining compliance policies, procedures, and controls specific to BaaS operations, ensuring alignment with regulatory requirements and best practices.
  • Provide compliance training to BaaS staff and partners to ensure understanding of obligations under relevant regulations.
  • Maintain accurate and comprehensive records of compliance-related activities, assessments, reports, and documentation to demonstrate adherence to regulatory requirements and internal policies.
  • Stay updated on financial regulations such as AML, KYC, and data protection laws, ensuring BaaS operations' compliance and submitting regulatory reports and filings as required.

KNOWLEDGE AND EXPERIENCE REQUIRED

EDUCATION

Bachelor’s degree or equivalent experience or education, or some combination with a determined spirit

QUALIFICATIONS

  • 3+ years experience in compliance at a financial institution or similar relevant experience.
  • Knowledge of regulatory compliance, risk management processes, and issue management.
  • Experience with financial regulations including GLBA, AML, BSA, KYC, PCI, DSS, etc.
  • Strong organization and task management skills, including balancing multiple projects and requirements simultaneously.
  • Strong interpersonal and communication skills, able to create and enhance relationships while balancing the needs of FinTech customers and Legend Bank.
  • Proficient in Microsoft Office (Word, Excel, and PowerPoint).

Legend Bank is an EEO and Affirmative Action Employer. Member FDIC.

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