Compliance Officer

3 weeks ago

Las Vegas, United States AskDegree, LLC Full time
Job DescriptionJob DescriptionSalary:

About Us:


At AskDegree LLC, we are building the future of compliance and security by democratizing access to the tools and  solutions that make business possible in the financial services industry.


Our mission is to help our partners to achieve operational excellence by leveraging compliance  services to deliver actionable insights and intelligence. 


The compliance team provides risk management and compliance services to our partners: the work includes risk assessments; policy and procedures development; licensing management; research;  training; advisory; examinations; monitoring and testing; and partnership risk management.


To be successful in this role will mean being part of a fast-moving startup disrupting the compliance management industry working at the intersection of financial services and technology. 


This hiring is extremely important to us, we love our team and our culture and we want to find the best possible fit. You will love working with us and we want to keep it like that. 


If you are excited to work with early-stage ventures (our partners), have a natural curiosity for emerging trends and technologies in the financial services industry (e.g. blockchain, defi, meta, and cryptocurrency), are passionate about delivering quality work, and most of all are eager to sharpen your skills in compliance and risk management we would love to hear from you.


About you:


You are happy and you treat people with respect. You trust yourself enough to drive your work, but you are humble enough to ask for guidance. You are looking for that career defining opportunity to grow as a person and as a professional with a great Company.


You are expected to offer insights on compliance strategy, to become an effective guardian of the organization and facilitate business strategies development. The successful candidate will be able to ensure legal/Regulatory compliance and limit risk exposure.


To be successful in this role, you will have to come prepared to hit the ground running, armed with the ability to discuss, provide guidance on implementation of controls, and create deliverables associated with the following:


  • Consumer Lending Regulations
  • Consumer Protection Laws
  • U.S. Cyber Security Laws
  • applicable Federal/State regulations including Deposit, Lending, and Fintech compliance.
  • corporate governance, Strategic Risk Management and IT support technologies.


We expect you to have:


  • Relevant experience providing compliance, legal, audit, or related experience.
  • Excellent ability to learn a broad array of skills beyond traditional compliance issues.
  • The highest standards of integrity and ethical judgment with the ability to manage deadlines and changing demands and the skill to coordinate complex projects across a variety of different business lines and a broad spectrum of compliance topics.
  • Ability to provide real-time guidance to the Business on compliance matters including regulatory requirements and control solutions and the ability to identify and escalate issues or transactions that pose regulatory, operational or reputational risk.
  • Strong communication skills and the ability to connect with people; ability to work independently and collaboratively with other compliance and control partners.


The work you will be doing:


  • Research applicable state,  federal and international laws and agency regulations
  • Work with leadership to track applicable legislation/regulation, analyze impact on partners and communicate relevant information to the organization
  • Keep apprised of new regulatory developments by reviewing regulatory publications and applicable industry trade publications
  • Interface with regulatory authorities on matters relating to compliance with applicable laws or regulations, and prepares correction for review by Manager, in response to negative findings of regulatory agencies
  • Collaborate with leadership to participate in internal work-group compliance initiatives in order to advise and assist Company compliance implementation efforts
  • Work in partnership with leadership to monitor and advise on Company practices and documentation related to regulatory compliance
  • Manage assigned regulatory filings for the Company and its partners.
  • Collaborate and consult with department management, and others as needed to ensure entity management
  • Serve as the administrator for vendors and their associated tools used by the Compliance Department.
  • Manage training needs and instructions for vendor tools
  • Handle ongoing oversight of compliance vendors including vetting current and potential vendors
  • Work with the contracting department on compliance vendor contracting needs
  • Manage updates to the required department policies, procedures, and work instructions as requested
  • Ensure compliance obligations are addressed prior to due dates (e.g., compliance training courses are reviewed yearly and updated as needed, annual contract compliance attestation process and follow-up, policy and procedures, conflict of interest) by managing the departmental calendar
  • Under management direction, assess and respond to partners’ requests and follow up on responses inquiries or complaints from partners or regulatory agencies
  • Manage assigned projects by planning, researching, and reviewing deliverables
  • Read, analyze, and interpret contracts and other legal or business documents 
  • Monitor and keep up to date on assigned regulations, legal requirements or pending legislation
  • Review partners’ communication for operational and regulatory compliance.


If you feel confident that you can be successful in this role, please apply, we would love to meet you.

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