Regulatory Compliance Specialist

7 days ago

Helena, Montana, United States Social Finance Ltd Full time

At Social Finance Ltd, we're shaping a brighter financial future with innovative, mobile-first technology. Our next-generation financial services company and national bank helps millions of members reach their goals.

We're at the forefront of an unprecedented transformation in the industry, guided by our core values. Join us to invest in yourself, your career, and the financial world.

The role of Compliance Advisor involves providing second-line independent oversight, partnership, and guidance on SoFi's Lantern, Protect, At Work products, and other non-bank member services and processes. This role ensures these areas are executed in accordance with regulatory requirements through our compliance framework.

In partnership with the Corporate Compliance Officer, the Advisor continuously provides insight into the overall risk profile of the business and suggests improvements.

Key Responsibilities:

  • Ensure policies and processes are compliant, appropriate, competitive, and consistent with management's risk appetite and strategy.
  • Assist the Compliance Officer with risk assessments, new product reviews, third-party oversight, control effectiveness evaluations, and issue validations.
  • Monitor business activities to identify regulatory risks and work with the business and other support functions to implement measures to prevent or mitigate those risks.
  • Lead or participate in projects addressing regulatory compliance requirements.
  • Provide specialist knowledge to business teams on compliance matters to ensure a culture of compliance and partnership.
  • Review complaints to identify regulatory exceptions and process improvements.
  • Maintain professionalism and ethics throughout tasks.

Requirements:

  • Bachelor's Degree or equivalent combination of education and experience required.
  • Minimum 5-7 years' experience in compliance, audit, or governance functions within consumer finance protection regulations.
  • Excellent analytical skills, sound judgment, and creative problem-solving ability.
  • Exceptional verbal and written communication skills, with ability to present clear recommendations.
  • Ability to interact with all levels of management and cross-functional partners collaboratively.
  • High ethical standards and confidentiality.
  • PREFERRED: Additional knowledge and experience in insurance agency, lead generation, and small business finance regulations.

Compensation:

The base pay range for this role is $ $120,000 - $160,000 per year, depending on individual factors such as experience, skills, and location.

Benefits:

We offer comprehensive benefits and a competitive compensation package. Visit our Careers page to view details.

Diversity and Inclusion:

Social Finance Ltd is committed to embracing diversity and offers reasonable accommodations to candidates with physical or mental disabilities.

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