Regulatory Compliance Specialist

3 weeks ago

New York, New York, United States Brex Full time

We are looking for a highly skilled Compliance Manager to join our team at Brex. In this role, you will be responsible for ensuring compliance with regulatory requirements and internal policies. With 5+ years of experience in compliance management, preferably in financial services, you will develop and enhance the organization's compliance program to align with regulatory standards.

Responsibilities

Your key responsibilities will include:

  • Developing and enhancing the compliance program to align with regulatory requirements and industry best practices.
  • Conducting regular risk assessments to ensure adherence to regulatory standards.
  • Monitoring changes in regulatory environments and adjusting the compliance program accordingly.
  • Managing and implementing processes related to policy governance, vendor risk management compliance reviews, and Compliance Committee meetings.
  • Serving as a subject matter expert on relevant regulations, including SEC, FINRA, Dodd-Frank, Anti-Money Laundering (AML), Know Your Customer (KYC), and other financial regulations.
  • Developing and delivering compliance training programs for staff at all levels to foster a culture of regulatory compliance.
  • Developing, implementing, and managing a compliance issue management standard and process.
  • Working closely with various departments (Legal, People, GRC) to implement or enhance compliance program initiatives, such as third-party risk management.
  • Managing the implementation of workflow tools to support core compliance program initiatives (risk assessment, issue management, etc.).
Requirements

To be successful in this role, you will require:

  • 5+ years of experience in compliance management, preferably in financial services.
  • A strong understanding of financial regulations and their application.
  • Proven experience in developing and managing compliance programs and risk assessments.
  • 3+ years of experience managing internal stakeholders.
  • Exceptional communication and interpersonal skills, with the ability to collaborate effectively with bank partners, external auditors, and internal teams.
  • Detail-oriented with strong organizational and project management abilities.
  • Proficiency in compliance management and audit software is a plus.

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