Our client, a nationwide loan origination software production company, has an immediate need for a Compliance Officer (CO) with SaaS and Privacy experience. Our client provides technologies to financial institutions and fintech companies to support their cloud-based credit reporting, digital lending, account opening and deposit functions. This position can be remote if necessary.
Testing and troubleshooting our client’s compliance policies and procedures while preparing relevant reports and conducting regulatory requirement research.
Compliance testing to identify company risks and make improvement recommendations while streamlining compliance controls.
Execute process improvement initiatives and assist in the identification of areas of weakness.
Prepare reports of findings upon completion of compliance risk assessments.
Forensic testing to identify any additional areas of improvement.
Understanding of regulations (e.g., SEC, CFTC, CFPB, GDPR, ERISA, state, foreign).
Assist with major regulatory examinations, internal audit inquiries, and client requests.
Bachelors degree, Juris Doctor (JD) preferred.
5+ years of securities industry-related experience in an investment advisory role and/or investment company compliance or audit experience.
Knowledge of SEC and securities laws.
Firm understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Strong familiarity with privacy and security regulations.
Prior experience within SaaS industry strongly preferred.
Ability to identify and analyze the complex regulatory issues and their effect on the business.
Ideal candidate will be intuitive, energetic, and self-motivated!
Equal Opportunity Employer/Veterans/Disabled
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The Company will consider qualified applicants with arrest and conviction records