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Head of Regulatory Compliance

2 months ago

San Francisco, California, United States NerdWallet Full time

The Head of Regulatory Compliance will oversee the creation and execution of compliance initiatives, including reporting, training, and assessments, while reviewing corporate policies and providing guidance to leadership on compliance issues. This role ensures that our operations, external partners, and business dealings comply with all relevant laws, regulations, and internal standards to maintain high ethical and compliance benchmarks throughout the organization. The Head of Regulatory Compliance will serve as the principal authority and consultant on compliance, managing external regulatory interactions, legal agreements, and vendor compliance. A strong understanding of regulatory laws and operational compliance practices, particularly in the fintech sector (banking, consumer and commercial lending, mortgage, insurance, payments, broker-dealer and investment advisory, privacy, and cybersecurity), is essential for this position.

Key Responsibilities:

  • Design, implement, and sustain a comprehensive compliance program that meets industry standards and regulatory expectations.
  • Ensure adherence to laws, regulations, company policies, and contractual obligations.
  • Conduct compliance program evaluations to measure compliance management system effectiveness.
  • Stay updated on new regulatory developments, trends, and best practices; evaluate their potential impact on the organization to uphold a strong compliance framework.
  • Perform risk assessments to identify compliance vulnerabilities and risks; formulate and execute corrective action plans to address identified issues.
  • Provide regular updates on compliance activities to senior management and regulatory authorities.
  • Lead and mentor the compliance team, offering direction and support.
  • Create compliance training programs and supervise employee training on compliance-related topics, policies, and procedures.
  • Address employee inquiries regarding legal compliance.
  • Collaborate with internal audit functions as necessary.
  • Stay aligned with internal standards and business objectives.
  • Exhibit executive presence and effectively communicate with Executive Leadership and the Board of Directors.
  • Demonstrate emotional intelligence in all professional interactions.
Qualifications:

We understand that not all candidates will meet every requirement. If you meet most of the qualifications below and are enthusiastic about the opportunity to grow, we encourage you to apply.
  • Bachelor's degree in Law, Finance, Business Administration, or a related discipline; advanced degree or professional certification (e.g., JD, MBA, CCEP) is preferred.
  • A minimum of 12 years of experience in a compliance role within the financial services sector, including at least 5 years in a leadership capacity.
  • In-depth knowledge of the regulatory landscape in the fintech industry, particularly in consumer lending, mortgage, banking, insurance, payments, broker-dealer and investment advisory, privacy, and cybersecurity.
  • Demonstrated experience in developing compliance programs and leading compliance teams.
  • Strong analytical and critical thinking abilities; capable of formulating and executing strategic plans.
  • Exceptional communication skills, both written and verbal.
  • Proven leadership skills and a collaborative mindset.
Work Environment:

  • This position can be based remotely or in a flexible location.
  • We believe that exceptional work can be accomplished from anywhere, and we offer benefits and perks to support the overall well-being of our employees and their families.
Benefits:

  • Comprehensive medical, dental, and vision insurance for employees and their dependents.
  • Flexible Time Off policy along with 13 holidays and 4 Mental Health Days Off.
  • Parental Leave for employees welcoming a newborn or adopting a child.
  • Mental health resources available through Headspace.
  • Financial wellness support and access to a Certified Financial Planner (CFP).
  • Paid sabbatical for personal development and recharge.
  • Health and Dependent Care FSA and HSA Plan with company contributions.
  • Wellness programs including Virtual Bootcamp, Yoga, and Mindfulness sessions.
  • Monthly stipends for wellness, cell phone, and internet expenses.
Community Engagement:

  • Participate in employee-led initiatives and community service projects.
  • Engage in company-wide events that foster a sense of community and teamwork.
Future Planning:

  • 401K plan with company matching.
  • Annual budget for professional development and learning opportunities.
  • Access to innovative financial products and tools.
  • Legal support and resources available through Rocket Lawyer.

NerdWallet is dedicated to building a diverse workforce and is proud to be an equal opportunity employer. We prohibit discrimination and harassment based on any characteristic protected by applicable law, ensuring that all qualified applicants receive fair consideration for employment.