Compliance Manager

Summary

Join SAVii, a leading employee wellness company, as a Compliance Manager. You will oversee and enhance our compliance framework, ensuring alignment with SEC regulations and industry standards. This role involves developing and implementing a robust compliance program for financing and lending services, conducting regular audits and risk assessments, and monitoring regulatory changes. You will provide support and training to staff on compliance matters, collaborate with other teams to mitigate risks, and act as the primary liaison for regulatory examinations. The ideal candidate possesses extensive experience in compliance management within the banking or financial services industry, in-depth knowledge of relevant regulations, and strong analytical and communication skills. SAVii offers a remote-first work environment and a plethora of enabling benefits.

Requirements

• Bachelor’s degree in Business Administration, Finance, Law, or related field
• Minimum of 5 years of experience in compliance management within the banking or financial services industry, with a focus on financing and lending
• In-depth knowledge of BSP, SEC, and AMLC regulations, cyber security requirements, and AML/CTF laws applicable to financing and lending operations
• Strong analytical skills and attention to detail, with the ability to interpret and apply regulatory requirements in a financing and lending context
• Excellent communication and interpersonal skills, with a collaborative approach to working across departments and with external stakeholders

Responsibilities

• Develop and implement a robust compliance program tailored for financing and lending services, encompassing SEC and AMLC regulations and industry best practices
• Monitor, review, and evaluate current compliance activities
• Conduct regular compliance audits and risk assessments specific to financing and lending products and services
• Monitor changes in SEC and AMLC regulations, and emerging industry trends to ensure timely updates to policies and procedures
• Provide support to internal clients on regulatory and compliance issues
• Create and review policies, procedures, forms, and training materials, as necessary
• Provide guidance and training to staff on financing and lending compliance matters, promoting a culture of compliance and risk awareness
• Collaborate closely with the technology and operations teams to assess and mitigate compliance risks associated with digital platforms and services
• Investigate and resolve compliance issues related to financing and lending operations, partnering with legal counsel and senior management as necessary
• Prepare and submit regulatory reports to the SEC, AMLC, CIC and other relevant authorities, ensuring accuracy and adherence to deadlines
• Serve as the primary liaison for SEC and AMLC examinations and audits related to financing and lending, facilitating effective communication and resolution of findings
• Act as the point of contact for compliance regulators; act as designated Compliance Officer when regulations require
• Develop and implement corrective action plans in response to audit findings, compliance violations, or regulatory changes
• Stay abreast of developments in financing and lending regulations, cyber security threats, and fintech innovations, and proactively adjust compliance strategies as needed

Preferred Qualifications

• Master’s degree preferred
• Relevant certifications such as Certified Regulatory Compliance Manager (CRCM), Certified Information Systems Auditor (CISA), or Certified Information Privacy Professional (CIPP) preferred

Benefits

• Remote-first organization
• A plethora of enabling benefits enhancing your personal and professional life