Compliance Analyst

1 week ago

Greenwich, Connecticut, United States Libertas Funding Full time $70,000 - $90,000 per year

ABOUT THE COMPANY:

Libertas Funding, LLC is a dynamic fintech, specialty finance, company providing capital to small and medium-sized businesses. With over 100 years of combined funding and credit expertise, we work hard to provide our customers with optimal solutions to meet their funding needs. Libertas maintains a spirit of innovation and customer focus while leveraging our proprietary technology and financial discipline to help our clients reach their goals. We seek qualified candidates who work with integrity and excellence, and who value teamwork, customer service, diversity, and accountability.

POSITION SUMMARY:

The Compliance Analyst will assist with implementing, administering, and maintaining the company's Compliance Management System Program. The Compliance Analyst will have BSA/AML/CIP/OFAC compliance responsibilities to ensure BSA regulatory requirements are met. The Compliance Analyst will also be integral in carrying out our CMS Program as it pertains to compliance monitoring and testing, as well as policy reviews and training.

KEY RESPONSIBILITIES:

  • Assist in the review and resolution or escalation of OFAC matches.
  • Assist in 314a scrubs and reporting.
  • Assist in monthly OFAC scrubs and reporting.
  • Investigate and assist in the resolution of complaints and Red Flags.
  • Perform day to day monitoring of activities to ensure that the firm is in compliance with all applicable regulations, policies, and procedures.
  • Perform risk assessments and compliance testing/reviews/audits.
  • Assist in responding to outside audits and exams.
  • Assist in maintaining state licenses.
  • Assist in preparing or updating compliance policies and procedures.
  • Assist in the administration of the compliance training program.
  • Review Due Diligence on new and current vendors.
  • Assist with internal and external program and regulatory reporting requirements.
  • Adhere to compliance procedures and internal/operational risk controls in accordance with any and all applicable regulatory standards, requirements, and policies.
  • Perform other assignments as directed.

QUALIFICATIONS:

  • Knowledge of BSA/AML laws and regulations
  • Strong attention to accuracy and detail
  • A proactive desire to learn and is driven by a strong desire for excellence in performance.
  • An ability to work in a high-energy, entrepreneurial environment.
  • An ability to pivot with changing priorities.
  • Independent sound judgement.
  • Strong attention to accuracy and detail.
  • Strong organizational and computer skills including Microsoft Office and Excel.
  • Effective communication skills in English, both oral and written.

Education Requirements/Additional Preferences:

  • Required Years of Work Experience: 2-3 years of experience in compliance and/or risk-management related field preferably in commercial or consumer lending/financial services.
  • Education/Experience: Bachelor's Degree

Salary Range: $70K-$90K depending upon experience

Libertas Funding, LLC participates in E-Verify.

Libertas Funding, LLC will not sponsor applicants for work visas for this position. Applicants must be currently authorized to work in the United States on a full-time basis.

Libertas Funding, LLC provides equal employment opportunities to all applicants for employment and prohibits discrimination and harassment of any type with regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by the federal, state, or local laws.

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