Compliance officer Jobs in Santa Ana, CA

A Day in the Life

We are seeking an exceptional, energetic and proactive compliance professional, with a law degree, whose passionate about promoting a strong culture of compliance to join our team. In this role you will help further develop and operationalize Lendistry's cutting-edge compliance program. You will make strong partnerships throughout Lendistry to conceive and execute a strategy that ensures compliance while supporting innovation.

Lendistry : Who We Are

We're proud to be the nation's largest minority-led, tech-savvy lender for small businesses and commercial real estate. As a certified Community Development Financial Institution (CDFI) and Community Development Entity (CDE), our mission is all about creating economic opportunities and fueling growth for small business owners and their communities. Join us as we pave the way with innovative financing and financial education!

What You'll Be Doing

• Develop, implement and oversee aspects of Lendistry's regulatory compliance program :
• Stay abreast of emerging changes to laws, regulations, supervisory guidance, trends and industry best practices and assess potential impact on the company's products and services.
• Monitor compliance with laws, regulations, company policies, and contractual obligations to help maintain a robust compliance program that aligns with relevant laws, regulatory requirements, contractual obligations and industry standards.
• Perform or assist in compliance program testing, monitoring and audits to assess adherence to compliance obligations.
• Assist in annual review and update of compliance policies and related procedures. Help design and implement cutting-edge BSA / AML, sanctions, and consumer protection compliance policies, tailored specifically for the unique and evolving challenges within the Fintech space.
• Assist in the identification of compliance risks, red flags and help develop compliance risk controls and mitigation plans.
• Serve as the subject matter expert on data privacy-related laws, to assist in the continued improvement of company's privacy program.
• Support cross functional teams in the ideation, development, review and update of the company's products and related policies, processes and reporting.
• Conduct compliance risk assessments to identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for issue resolution.
• Drive execution of compliance objectives and goals.

Your Areas of Knowledge and Expertise

Why You'll Love Working Here :

COMPENSATION RANGE

The US base salary range for this full-time position is $180,000-205,000 annually.

Our salary ranges are determined by role, level, and location.

The range displayed on each job posting reflects the minimum and maximum base salary for new hires for the position across all US locations. Within the range, individual pay is determined by multiple factors like job-related skills, experience, and state of residence. Your recruiter can share more about the specific salary range during the interview process.

Please note that the compensation details listed in US role postings reflect the base salary only, and do not include any variable compensation elements.

PHYSICAL REQUIREMENTS

This is a stationary position that requires frequent sitting (approximately 95%), repetitive wrist motions, grasping, speaking, listening, close vision, and the ability to adjust focus. It also may require occasional standing, lifting, carrying of 20lbs or less, walking, kneeling, bending / stooping, twisting, pulling / pushing, and reaching above the shoulder. Employees in this position must be physically able to efficiently perform the essential functions of the position.

Equal Opportunity Employer / Protected Veterans / Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)