Compliance Audit Manager

Compliance Audit Manager - Hybrid

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Salary : $100,000 - $120,000 per year

A bit about us :

Our client is a pioneer in online lending that has developed 14+ consumer finance brands in the US and UK and has served more than 4 million underserved consumers for over 20 years.

Why join us?

Great culture

Top Benefits

Growth opportunities

Job Details

Job Summary :

The Compliance Audit Manager will ensure organizational compliance by interpreting regulatory mandates and legislation, perform independent research of regulatory guidance, identifying impacts operationally, disseminating guidance as appropriate to business owners and create, review, and distribute departmental reporting statistics. This position is responsible for developing and executing the company’s internal audit plan each year. This position will act as a Compliance Manager and primary Compliance Stakeholder to company initiatives and products by participating in business partner meetings, gathering, reviewing, and approving business requirements, and facilitating user acceptance testing through the entire project lifecycle. The Compliance Risk Manager role will also provide support to the overall Compliance Program, Corporate Policies and Procedures area, Continuous Monitoring Activities, Compliance Training and Vendor Management program. High attention to detail and drive to deliver excellence in every task are core values of the company and a principal characteristic required of this position.

Duties and Responsibilities :

• Develop and execute annual audit plan that focuses on highest risks to the company (e.g. regulatory, operational, and financial risks).
• Oversee existing monthly continuous monitoring activities and develop additional monitoring as necessary.
• Oversee and facilitate external state examinations as designated point of contact for examiners including drafting responses to examination reports, as necessary. Assist, as needed, with other external audits and reviews.
• Participate in product development by attending project planning meetings, providing timely communications to project stakeholders and development teams, and participating as needed in product testing.
• Communicates regulatory issues, deficiencies, or potential compliance related problems related to assigned products.
• Superior knowledge of general Compliance, Internal Audit, and Finance terminology, and the ability to understand laws and regulations, and an understanding of the local regulatory process. Ability to advise the business appropriately.
• Review corporate policies, including Standard Operating Procedures, and workflows for both hardcopy manual and company intranet site, and recommend regular updates as needed.
• Assist with preparing monthly compliance meeting and quarterly Audit Compliance and Committee meeting materials.
• Assist with the analysis and interpretation of regulatory compliance requirements specific to individual products and / or the overall Compliance Program.
• Participate in the development and ongoing maintenance of various Compliance Program initiatives, driving consistency in the way information is managed.
• Actively monitor for any changes to legislation, regulations, advisories, alerts, and vulnerabilities pertaining to Cortex as both a Lender and Service Provider.
• Perform follow up and product reviews as needed to ensure corrective action plans have been adequately implemented.
• Assist in providing Compliance, Legal, and Vendor Management guidance to business units.

Support the coordination and provision of due diligence documentation when external entities conduct assessments of the company.Education and Experience :

Supervisor Responsibilities :

Hybrid Work Schedule Eligibility :

Frequency of Essential Functions :

The following breakdown summarizes the types and frequency of activities typically performed by employees in this position. It is not a guarantee of the actual distribution of activities to be performed.

Item % Activity Description

1. 50 Executing internal audit plan and activities supporting the Compliance Management Program Oversee internal audits, preparing audit reports for internal distribution and other activities to support the various components of the company’s Compliance Management Program.

2. 25 Oversee external audits and reviews Facilitate external state examination activities as well as other external reviews performed on company.

3. 15 Operational Compliance Activities Oversee monthly compliance continuous monitoring activities and preparation of meeting material for compliance and Audit and Compliance Committee meetings.

4. 10 Other Duties as Needed

Physical Requirements :

EEO / Affirmative Action :

Cortex Management complies with all applicable federal, state, and local laws regarding equal employment opportunities (EEO) to all employees and applicants for employment. Cortex makes its employment decisions without regard to race, color, religion, sex, national origin, age, disability, genetic information, marital status, sexual orientation, gender identify / assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status protected by federal, state, or local law. In addition to federal law requirements, Cortex complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. Cortex will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquires including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable law. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.

Disclaimer :

This job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.

This document does not create an employment contract, implied or otherwise; employment in this job is an “at will” employment relationship.

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