Regulatory Compliance Manager
About the Role
Fund Street Technologies is a fintech lending platform for commercial financing to small and mid-sized businesses. As our client volume and product set grow, we’re in need a seasoned Regulatory Compliance Manager to help build out and run our compliance monitoring and testing program and strengthen compliance pillars.
This person will own our monitoring and testing plan, serve as the compliance reviewer for marketing and advertising, and manage compliance issues and complex, cross-functional initiatives from intake through remediation. This is a builder's role: you'll help design and mature the program. The role works closely with Legal, Risk, Operations, Marketing, and external partners.
Key Responsibilities
Monitoring and testing
- Build out and run the compliance monitoring and testing plan, including defining and risk-ranking the testing universe, writing test scripts, and setting review frequency.
- Execute periodic reviews, document results and exceptions, and track remediation to closure.
- Report monitoring results, gaps, and risk trends to senior leadership and relevant committees.
Marketing and advertising review
- Serve as the primary compliance reviewer and approver for marketing assets in various forms across numerous channels.
- Confirm that all advertising is fair, accurate, and consistent with company values, applicable
