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Compliance Officer

  • Job Number 527416
  • Type Permanent
  • Location Greenwich, CT
  • Pay DOE (~$90,000 - $115,000 plus bonus)
  • Referral Bonus $250

Compliance Officer

Job Description:

Fast-growing specialty finance firm located in Greenwich, CT seeks to hire a Senior Compliance Officer. The firm offers exceptional products and continues to surpass expectations and performance goals.

The Compliance Officer will report to the Controller and the Board of Directors. The person selected for this position will be responsible for the ensuring day to day adherence of compliance related matters as well as developing and implementing the firm’s compliance program.

Some Responsibilities include but not limited to:

  • Compliance Reviews & Approvals of various types of documents and material
  • Develop and implement firm’s compliance management process and system
  • Complete Internal Risk Assessment as needed
  • Review & Approve independent auditor
  • Issue Tracking & Resolution for all issues identified Bank Secrecy Act and AML responsibilities
  • Work with Partner to ensure revised and/or new regulations are incorporated into Partner’s business, as applicable
  • Contributes to Compliance Committee and Board Reporting, as appropriate

Requirements:

  • BA/BS or equivalent professional experience; JD a plus but not required
  • Minimum of 4+ years in regulatory consumer compliance with experience in the following but not limited to these Federal laws and regulations:
  • Bank Secrecy Act/Anti-Money Laundering (“BSA/AML”), OFAC, CIP, and FinCEN 314(a);
  • Equal Credit Opportunity Act (“ECOA”)/ Regulation B;
  • Truth in Lending Act (“TILA”)/ Regulation Z;
  • Fair Credit Reporting Act (“FCRA”)/ Regulation V;
  • Fair Lending;
  • Unfair, Deceptive, or Abusive Acts or Practices (“UDAAP”);
  • Electronic Signatures in Global and National Commerce Act (“ESIGN”);
  • Electronic Funds Transfer Act (“EFTA”);
  • Servicemember’s Civil Relief Act (“SCRA”);
  • Strong attention to detail;
  • Ability to effectively prioritize projects and tasks;
  • Comfortable working under tight deadlines;
  • AML and lending compliance a plus