Compliance Lead 2, Regulatory Compliance
$150,000–$170,000 year
Remote
Job Summary
Manage components of the Compliance Management System and conduct compliance risk assessments to identify and mitigate regulatory risks. Oversee internal audits, policy governance, and the complaint handling process while ensuring resolutions meet applicable regulatory requirements. Support new product development by advising teams on compliance strategies and maintain administrative oversight of training issued via the learning management system. Track internal and external reporting obligations, coordinate responses to regulatory examinations and audits, and monitor emerging updates from FinCEN, OFAC, and the Wyoming Division of Banking to adjust internal policies. Execute the marketing compliance program and issue management process while collaborating with general counsel on automation initiatives.
Required Qualifications
- Bachelor's degree in Finance, Business, Risk Management, or a related field
- Proven experience (5+ years) in regulatory compliance, risk management, or a related role in the banking and financial services industry
- In-depth knowledge of banking laws, regulatory frameworks, and compliance best practices
- Strong ability to analyze regulatory updates and translate them into actionable policies
- Hands-on experience with LLMs and AI Agents for process automation
- Attention to detail and strong analytical skills to detect potential risks
- Excellent communication skills to collaborate with internal teams and regulators
- Ability to work in a fast-paced environment and adapt to regulatory changes
Desired Qualifications
- Certified Regulatory Compliance Manager (CRCM)
- Experience or interest in crypto / blockchain and/or startups
- Product management or product development experience
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.