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Regulatory Compliance Testing Specialist

2 months ago

Salt Lake, Utah, United States First Electronic Bank Full time
Job Overview

The Compliance Testing Analyst operates as a vital component of the Second Line of Defense, tasked with executing compliance evaluations to assess our Strategic Partner's adherence to relevant laws and regulatory standards. This role involves adhering to a predetermined risk-based testing framework for each assessment, generating comprehensive documentation, crafting clear reports, and evaluating the sufficiency and effectiveness of remedial action strategies.

Key Responsibilities:

  • Conduct assessments and oversight of our Strategic Partners' lending initiatives and offerings, ensuring compliance with various lending and consumer protection regulations, including UDAAP, Fair Lending, ECOA, TILA, FCRA/FACTA, SCRA, MLA, FDCPA, and TCPA.
  • Record findings and present them to the Compliance Testing Manager for inclusion in reporting.
  • Engage in additional projects and responsibilities as assigned.

Essential Qualifications:

  • A minimum of 3 years of experience in Regulatory Compliance within a financial services environment.
  • A Bachelor's Degree in accounting, business, finance, or a related discipline is preferred. (Relevant experience and Regulatory Compliance Certification may substitute for formal education.)
  • Demonstrated ability to independently research and analyze consumer protection laws and regulations related to deposits, credit cards, installment loans, and open-end credit.
  • Comprehension of operational processes and banking policies and procedures.
  • Proficient in articulating ideas and concepts clearly in both written and verbal communication.
  • A collaborative team player with strong problem-solving skills.
  • Capable of formulating and thoroughly documenting testing outcomes.
  • Extensive knowledge of Microsoft Office Suite, including Word, Excel, Outlook, and PowerPoint.

Desirable Qualifications:

  • Experience in collaboration with or within a Fintech partnership framework.
  • Regulatory Compliance Certification is advantageous.