Senior Compliance Analyst

7 days ago

Malvern, United States BM Technologies, Inc. Full time
Job DescriptionJob Description

Position: Senior Compliance Analyst

BMTX is seeking a motivated and results-driven Senior Compliance Analyst to join the Compliance Monitoring and Testing Team within the Compliance business unit. The role will report to the Compliance Monitoring and Testing Manager. The Senior Compliance Analyst will participate in the execution of reviews of various bank products, services and related control processes in accordance with an established Monitoring & Testing Compliance Program. Testing performed will focus on the risk and control environment supporting regulatory compliance with the key purpose of identifying any compliance violations as well as controls/processes that may need strengthening.

BMTX Overview

BM Technologies, Inc. (NYSE American: BMTX) - formerly known as BankMobile - is among the largest Banking-as-a-Service (BaaS) providers in the country, providing access to checking and savings accounts, personal loans, credit cards, and financial wellness. It is focused on technology, innovation, easy-to-use products, and education with the mission to financially empower millions of Americans by providing a more affordable, transparent, and consumer-friendly banking experience. BM Technologies, Inc. is a technology company and is not a bank, which means it provides banking services through its partner bank. More information can be found at www.bmtx.com.

Our Mission

We are on a mission to financially empower millions of Americans by providing a more affordable, transparent, and consumer-friendly banking experience. And we are passionate about having fun while making an impact

Job Description:

  • With the support of the Compliance Monitoring and Testing Manager the ability to lead and/or participate in any or all aspects (planning, scoping, process walk throughs/control assessments, testing and report documentation) of compliance monitoring and testing reviews of various areas of the company in accordance with the established Monitoring & Testing Program to provide an independent assessment of compliance with applicable laws and regulations. Some reviews will present a higher degree of complexity and may require unique subject matter expertise within the team.
  • The need to perform compliance monitoring and testing understanding the existing business process and control environment and assess the design and effectiveness of compliance controls within the company with a key purpose of identifying any compliance findings/gaps, violations and/or areas of enhancement. This includes the ability to independently assess LOB procedures and resources for adequacy and ensure these are comprehensive in documenting the control environment to support regulatory compliance.
  • Ability to independently develop a test plan or enhance an existing test plan to assess control effectiveness.
  • Timely delivery of well-developed and documented workpapers to support monitoring and testing review work, conclusions and reports. This includes creating well developed findings to concisely document identified control weaknesses and recommendations. This also includes the ability to validate potential findings for factual accuracy and effectively vet and articulate the findings and risk impact of findings with LOB partners.
  • Ability and willingness to work within a fast-paced environment and complete review and testing assignments within established budgets and due dates. This includes the ability to manage multiple assignments simultaneously. Must be able to be a self-starter, flexible and open to a potentially dynamic and changing environment that may impact the work of the Compliance Monitoring and Testing Team.
  • Participate in the process of documenting and executing on review reports.
  • Track and validate corrective action plan for reported issues.
  • Willingness to contribute to enhancements of review and/or team processes including seeking and recommending areas of efficiency and implementing best practices and procedures to improve the efficiency and effectiveness of the Monitoring and Testing Program. Develop and or contribute to the maintenance of internal procedures.
  • Perform and participate in ad-hoc projects and duties as needed.
  • Keep current on relevant regulations and best practices pertaining to the financial service industry.

Qualifications

  • A Bachelor’s degree in business, finance, or a related field or equivalent experience.
  • Certification such as CRCM and/or CAMS preferred.
  • 3-5 years of financial/banking experience preferred in the area of compliance, compliance monitoring/testing, internal audit.
  • Knowledge of banking products, operations, systems and organization, especially in the area of deposits.
  • Solid understanding, working knowledge and experience of banking regulations, in the area of Regulation E, Reg DD, CC and other deposit related banking rules and regulations. Additional regulatory knowledge such as USA Patriot Act, BSA, OFAC, Privacy is a plus in addition to the Deposit regulatory experience.
  • Must be able to comprehend and analyze banking laws and regulations.
  • Ability to foster positive relationships with individuals within the Compliance Monitoring and Testing Team, Compliance Department and LOB Partners including other risk partners such as internal audit, risk management, legal.
  • Strong oral, communication, writing, organizational and planning skills.
  • Ability to maintain a high degree of accuracy and attention to details in the conduct of reviews while also demonstrating analytical problem-solving skills. Ability to work independently and lead and/or participate in assignments with the support of the Compliance Monitoring and Testing Team Manager.
  • Handle multiple reviews/tasks and deliverables simultaneously and the ability to prioritize assignments.
  • Self-motivated, ability to acquire new skills independently and efficiently.
  • Proficient in Excel, Outlook, Word.
  • Open to learning existing and new technologies that must be leveraged in conjunction with the review work.

BMTX will provide consideration for employment to qualified applicants without regard to their race, color, religion, national origin, sex/ gender, sexual orientation, gender identity, protected veteran status or disability.

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