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Website FinWiseBank FinWise Bank

People Moving Forward

The Compliance Testing Analyst reports to an AVP of Compliance Testing regarding compliance testing function of his or her assigned duties, and the analysis of the compliance risks inherent in the Bank’s business lines, including the Bank’s Strategic Partnerships. The Compliance Testing Analyst regularly interacts with Partners, Senior Management, and individuals from various business units to ensure that the Bank’s programs remain in compliance with all applicable banking laws and regulations.

Tasks:

  • Assist in the development of test scripting to ensure appropriate oversight of the various compliance risk inherent to the type of partnership.
  • Evaluate compliance risk assessments to determine appropriate scope and methods for testing.
  • Effectively and independently perform quality testing and monitoring of partner activities pursuant to the Board approved testing schedule.
  • As a part of testing, review policies and procedures relative to the compliance requirements of laws and regulations.
  • Communicate identified compliance deficiencies, gaps, and potential problems to management and staff.
  • Prepare and present written information in a clear, concise, grammatically correct, and convincing manner, providing an adequate level of support for the audit work performed, and conclusions reached.
  • Exhibit superior time management skills (measured by deadlines and quality of progress and projects completed).
  • Maintain confidentiality of information and protect the Bank’s sensitive information and materials.
  • Develop and maintain rapport with the staff and management in order to effectively obtain and communicate information and facilitate good working relationships.
  • Support the bank’s business processes, identify those that involve critical activities.
  • Build strong relationships with partners to manage, coordinate, and conduct oversight activities, which are customized based on the type of strategic partnership.
  • Stay informed on the regulatory environment and emerging industry trends, regulatory changes, and other relevant laws and statutes.
  • Maintain a comprehensive understanding of the assigned business lines, including product, processes and regulatory requirements.
  • Utilize knowledge of regulation to determine appropriate approach to testing and the identification of gaps.
  • Complete annual regulatory compliance training assignments by their respective due

 

 

Knowledge, Skills and Abilities:

  • Knowledge of policies and processes for compliance risk management
  • Ability to use tools, data, and best practices to assess, compliance risk exposures
  • Strong understanding of regulatory requirements
  • Ability to analyze, manage and resolve complex issues with attention to detail.
  • Strong analytical and problem-solving skills to be used in operational evaluation and interpretation of compliance information
  • Ability to interact and collaborate effectively with all levels of management, including cross-functional and external stakeholders
  • Strong written and verbal communication and presentation skills with the ability to teach, directly influence change, negotiate, and appropriately escalate
  • Ability to work in a fast-paced, matrixed environment to effectively meet deadlines and work with minimal supervision
  • Strong proficiency with MS Excel and other MS Office products
  • Able to demonstrate client relationship skills
  • Broad thinker with ability to drive execution, achieve results and influence effectively
  • Strong attention to detail
  • Comfortable working under tight deadlines
  • Independent; able to tackle tasks independently or within a group environment
  • Organized and motivated/self-starter
  • Basic knowledge of Federal Regulations and how regulations apply to bank programs; including: UDAAP, ECOA/Fair Lending, TILA, FCRA/FACTA, Privacy (GLBA / RFPA), SCRA, MLA, ESIGN, FDCPA, TCPA, CAN-SPAM, EFTA, Deposit regulations, & mortgage regulations, etc.

Required Education / Experience / License:

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

Preferred Education /Experience / License:

  • Associate’s degree in Business Administration, Finance, or related field; or equivalent related

experience.

  • Certified Regulatory Compliance Manager (CRCM) is preferred.
  • Demonstrated ability to manage and
  • Experience within organizations that lend through third-party platforms, including tech companies.

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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