Compliance Officer

New

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.  

Job Responsibilities:

  • 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.
  • Qualifications:

  • 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

    Certified: Great Place to Work

    The Adecco Group North America family of brands has been named a 2019–2020 Great Place to Work®.