Sr. Regulatory Compliance Manager

1 week ago

Fort Lauderdale, United States SellersFunding Full time
Description

This position is only open to candidates residing in: AL, CO, FL, GA, NH, NJ, NY, NC, TN, NC, and SC.

Job Summary
SellersFi (the "Company") is hiring a Sr. Regulatory Compliance Manager on a full-time basis, reporting directly to the Chief Risk Officer/Chief Compliance Officer. The candidate filling this role will be responsible for ensuring our company adheres to legal and regulatory standards, and in-house policies and procedures within the financial services industry. Other key responsibilities include ensuring adherence to pertinent external regulations and internal policies - in all aspects and levels of the business as well as providing guidance on compliance matters (including but not limited to Complaints Handling).

To be successful in this role, the Sr. Regulatory Compliance Manager will be well-versed in regulatory compliance matters and corporate governance best practices. They are professional with high ethical standards and work diligently to complete their duties, keeping in mind the objectives of the business. The Sr. Regulatory Compliance Manager must also be comfortable with saying "no" when necessary and be result-oriented. The goal is to preserve the company's integrity by ensuring it stays on a lawful and ethical course.

Essential Functions
  • Develop and oversee control systems (in close collaboration with the Enterprise Risk Management Dept.) to prevent or deal with violations of legal & regulatory guidelines, internal policies & procedures - including complaints handling - across the company.
  • Evaluate the efficiency of controls and improve them continuously (in close collaboration with the Enterprise Risk Manager and QA Compliance Manager).
  • Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues (in close collaboration with the Enterprise Risk Management Dept.).
  • Ensure adequate contract management oversight across departments, including adherence to contractual arrangements with critical vendors (in close collaboration with the Vendor Risk Manager, the relevant business unit and the legal department - if needed).
  • Day-to-day operational involvement required, including certain hands-on activities (considering that we are a start-up).
  • Draft, modify and implement company policies (in close collaboration with the Chief Compliance & Risk Officer).
  • Collaborate with Internal Counsel, Enterprise Risk Management, Cybersecurity, and HR departments to monitor enforcement of standards and regulations.
  • Assess the business's future ventures to identify possible compliance risks (in close collaboration with the Enterprise Risk Management Dept.).
  • Review the work of colleagues when necessary to identify compliance issues and provide advice or training.
  • Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
  • Prepare reports for senior management and external regulatory bodies as appropriate (in close collaboration with the Enterprise Risk Management Dept.).
  • Own and drive Ad hoc projects.
  • Perform other duties with flexibility as assigned.
Qualifications & Skills
  • Bachelor's Degree in Business Administration, Finance, Law, or related field.
  • Proven experience as general compliance manager; exposure to MSB industry a plus.
  • In-depth knowledge of the industry's standards and regulations related to the financial services industry.
  • Excellent knowledge of reporting procedures and record keeping.
  • A business acumen partnered with a dedication to legality and risk management procedures.
  • Methodical and diligent with outstanding planning abilities.
  • An analytical mind able to "see" the complexities of procedures and regulations.
  • Certified compliance professional preferred.
  • Computer savvy with a strong proficiency in MS Office Suite applications and tools.
  • Propensity to work independently, take accountability, and own the essential functions of the role.
  • Must have strong time management skills, remain focused, be organized, and meet deadlines, including the ability to adapt to a process driven work environment.
  • Effective communication, both written and verbal.
  • Ability to work effectively in ambiguous situations and ability to multi-task.
  • Critical thinking and problem-solving skills with the ability to think outside the box.
  • Self-motivated and strong interpersonal skills as required in a startup environment with the ability to adapt to a frequently changing and evolving work environment.


Work Environment
A fast-paced job in a co-work setting - requiring the flexibility to interact with the Company's different teams either locally, remotely, or virtually.

Benefits
SellersFi is committed to the well-being of our employees. Some of our benefits include:

Competitive salary with opportunity for growth

Ongoing training and development

Generous PTO Policy, including 11 paid holidays

Paid parental leave

Health benefits (medical, dental, vision) with employer contribution

Long-term disability

401(k)

About Us
SellersFi is a global financial technology company that empowers e-commerce merchants looking to grow. We offer strategic solutions that make scaling easier and faster. From inventory and marketing to product launches, international expansion, and more, thousands of e-commerce sellers trust SellersFi to achieve limitless success. Visit us @ www.sellersfi.com.

Equal Employment Opportunity
SellersFi is an equal opportunity employer and is committed to providing equal employment opportunity for all qualified persons. SellersFi will recruit, hire, train and promote persons in all job titles, and ensure that all other personnel actions are administered, without regard to race, color, religion, creed, sexual orientation, national origin, gender, gender identity, age, genetic information, marital status, disability, covered veteran status, or any other legally protected status.

E-Verify
Note that SellersFi does participate in E-Verify and will provide the federal government with your Form I-9 information to confirm that you are authorized to work in the U.S.

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