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People Moving Forward


The Compliance Manager reports to an AVP of Compliance Management regarding the compliance management function of his or her assigned duties. The compliance management function generally refers to the compliance oversight of the Bank’s business lines, including its Strategic Partners (“SPs”). This function supports the Bank’s Compliance Management System (“CMS”) and includes the developing and maintaining effective compliance policies procedures and identifying and mitigating compliance risks for the Bank.


  • Provide regulatory advice in response to questions in a way that business managers can understand the risks.
  • Perform risk assessments to determine current risk levels and risks associated with the Bank’s products and services, lines of business and SPs, and other factors.
  • Reviews and approves marketing material and customer facing correspondence, and research regulations pertaining to the review.
  • Oversee compliance training completion reports of Bank and/or SP employees; Validate that SP annual compliance training program is comprehensive and is relevant and appropriately covers applicable laws and regulations.
  • Assisting business lines and SPs in developing or revising policies and procedures to reflect current regulatory requirements and the Bank’s expectations.
  • Review, analyze and report to management regarding complaints, disputes, fraud, and other reporting metrics available through the assigned business lines of Loan Program to detect potential compliance concerns.
  • Maintain a comprehensive understanding of the assigned business lines, including Loan Programs, and the SPs CMS and operating environment.
  • Reviews and effectively communicates program changes to management and the Board of Directors.
  • Complete annual regulatory compliance training assignments by their respective due dates.
  • Timely response to customers regarding written disputes and/or complaints.
  • Timely prepare accurate monthly reporting metrics for the Board, Audit and Compliance Committee packets.
  • Stay informed on the regulatory environment and emerging industry trends, regulatory changes, and other relevant laws and statutes.
  • As assigned, attend and participate in off-site training events and SP site visits.
  • Compliance vendor management and due diligence oversight; including vendor contract review, SP corporate governance and vendor onboarding process oversight, vendor compliance risk assessment and regulatory applicability assessment, alignment within the Bank’s CMS.
  • Conduct due diligence and make recommendations pertaining to the on-boarding of new Loan Programs and SPs; including the review and align policies, procedures, internal controls, and other due diligence activities as though those activities are handled within the Bank.

Knowledge, Skills and Abilities:

  • Knowledge of Federal Regulations and how regulations apply to bank programs; including: UDAAP, ECOA/Fair Lending, TILA, TISA, FCRA/FACTA, Privacy (GLBA / RFPA), SCRA, MLA, ESIGN, FDCPA, TCPA, CAN-SPAM, EFTA, EFAA, and other deposit regulations, & lending laws and regulations.
  • Experience working with auditors and regulators (i.e., FDIC, UDFI).
  • Ability to analyze, manage and resolve complex issues with attention to detail.
  • Must have good people-management and interpersonal skills, including the ability to work well in a team or individually.
  • Knowledge and understanding of the CMS framework.
  • Skill to identify, correct and resolve banking regulatory and fraud issues.
  • Ability to read, analyze and interpret professional journals, technical procedures, governmental regulations, and legal documents.
  • Assertive self-starter, with exceptional verbal and written skills, organized and able to work independently.
  • Must be able to appropriately prioritize time, manage multiple tasks and work effectively under tight deadlines.
  • Demonstrates high integrity and excellent judgment.

Required Education / Experience / License:

  • Bachelor’s degree in Business Administration, Finance, or related field; or equivalent related experience.
  • Three or more years of consumer compliance experience working in a bank or other financial institution.

Preferred Education /Experience / License:

  • Master’s degree or JD degree with emphasis in business, compliance, or related field.
  • Certified Regulatory Compliance Manager (CRCM) is preferred.
  • Demonstrated ability to manage and lead.

Minimum Essential Requirements:

  • Sit or stand at a computer for long periods of time and look at a computer screen for several hours a day
  • Work at an assigned FinWise office location
  • Communicate with others in person, on the phone, virtual meeting and email
  • Maintain confidentiality
  • Lift 20 lbs.
  • Maintain regular and punctual attendance
  • Work overtime as assigned
  • Travel overnight as required
  • Work cooperatively with others
  • Driving during the workday
  • Comply with all company policies and procedures

Background check are required on all bank employees due to accessibility of Personally Identifiable Private Information.

AAP/EEO Statement

FinWise is an equal opportunity employer and dedicated to diversity and inclusion in the workplace. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender identity, sexual orientation, age, marital status, pregnancy status, veteran status, or disability status.


FinWise provides reasonable accommodations to the known disabilities of individuals in compliance with the Americans with Disabilities Act. For accommodation information or if you need special accommodations to complete the application process, please contact the Department of Human Resource Management at (801) 545 – 6050.


Qualified applicants with criminal history and conviction records will be considered in accordance with legal requirements.

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