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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 serves 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 predefined risk-based testing strategy for each assessment, generating comprehensive work papers, crafting clear reports, and evaluating the sufficiency and effectiveness of corrective measures.

Key Responsibilities:

  • Conduct evaluations and oversight of our Strategic Partners' lending initiatives and offerings, encompassing but not limited to various lending and consumer protection regulations such as UDAAP, Fair Lending, ECOA, TILA, FCRA/FACTA, SCRA, MLA, FDCPA, and TCPA.
  • Document observations and present findings to the Compliance Testing Manager for reporting purposes.
  • Engage in additional projects and responsibilities as assigned.

Essential Qualifications:

  • Minimum of 3 years of experience in Regulatory Compliance within a financial services organization.
  • Bachelor's Degree in accounting, business, finance, or a related discipline is preferred. (Relevant experience and Regulatory Compliance Certification may be considered in lieu of a degree.)
  • Demonstrated ability to independently research and analyze consumer protection legislation and regulations pertaining to deposits, credit cards, installment loans, and open-end credit.
  • Strong understanding of operational processes and banking policies.
  • Excellent written and verbal communication skills, with the ability to convey ideas clearly and concisely.
  • A collaborative team player with strong problem-solving capabilities.
  • Proficient in formulating and thoroughly documenting testing outcomes.
  • Extensive knowledge of Microsoft Office Suite, including Word, Excel, Outlook, and PowerPoint.

Desirable Qualifications:

  • Experience in a Fintech partnership environment.
  • Regulatory Compliance Certification is advantageous.