Sr Manager, Regulatory Compliance

Self Financial

  • Full Time

Self Financial is a venture-backed, high-growth FinTech company with a mission to increase economic inclusion and financial resilience by empowering people to build credit and build savings.

We're looking for people who share our passion and are driven to tackle challenges, find solutions and make the financial space better for the communities we serve.

Our team is passionate about challenging the status quo of the credit industry by providing people accessible tools to take control of their credit. Executing on our mission requires deep collaboration across our teams to ensure our products reach the people who can benefit from them the most, particularly the 100 million+ Americans who have no or low credit.

We celebrate diversity and are committed to creating an inclusive environment for all employees. To that end, we seek to recruit, develop and retain the most talented people from a diverse candidate pool.

Self. is looking for a motivated professional to lead and manage its regulatory compliance monitoring and testing program, compliance training program, and to take ownership of compliance policies, procedures, and related content. This will require a deep understanding of relevant consumer protection regulations and laws, and how to effectively provide advice and operationalize these requirements with the relevant products and services that Self offers, including but not limited to managing programs related to these laws.

 

What you will do:

 

Monitoring and Testing

  • Develop an annual risk-based Compliance Monitoring and Testing Plan, designed to identify potential regulatory issues or other areas of improvement 
  • Ensure individual tests performed by the compliance testing team are appropriately scoped, timely executed, and results are promptly reported to senior management
  •  Assess, effectively challenge and provide oversight on the satisfactory resolution of issues identified by the compliance testing function, including ensuring adequate documentation and execution of remediation plans and validation
  • Monitor developments and trends that may impact regulatory requirements
  • Report testing results and trending to senior management
  • Develop and maintain strong relationships with executives and senior management across products and processes

Compliance Training

  • Lead the strategy of compliance learning curriculum, ensuring consistent and effective operation of compliance training programs
  • Manage in the delivery, scheduling, recordkeeping, and metrics of compliance training, including annual mandatory annual compliance training
  • Demonstrate the use of analytics to ensure overall training program effectiveness
  • Lead the development and implementation of training policies, procedures, and standards.
  • Work independently and collaboratively with cross-functional teams to support delivery and administration of training

Policies and Procedures

  • Draft, revise, and maintain policies and procedures to facilitate compliance with applicable laws, regulations, and regulatory guidance

 

What you bring:

  • 10+ years relevant work experience in Risk/Compliance in financial services industry, including at least 5 years of experience leading projects and managing teams
  • Strong background in risk management, compliance, and testing 
  • Understanding of the governing regulatory and industry standards that impact Regulatory Compliance Management Programs 
  • High level of expertise in all applicable regulations and guidance which apply to the business group(s) supported
  • Keen analytical skills and ability to proactively identify regulatory risk
  • Ability to foster and maintain strong positive relationships with senior management and industry contacts to ensure up-to-date knowledge of product, regulatory, technological and other developments 
  • Effective leadership capabilities, including expert communication, change management, sound judgment, relationship management, and negotiation skills
  • Ability to build, motivate and lead a team attuned to enterprise culture and committed to contributing to ability of the business to meet its objectives
  • Exceptional ability to manage multiple programs in a fast-paced environment with changing priorities and significant time pressures

 

Base salary range: $110,000- $162,000 annually.  Individual pay is based on factors unique to each candidate, including skill set, experience, and other job-related reasons.

Benefits and Perks:

We have the compensation and benefits you expect. But there's one thing that Self Financial can offer that many companies cannot: we can positively change the world, while making a profit. We are a team of Builders, empowering our customers to build their dreams. We have a Do the Right Thing ethos in all that we do, and we hope you value that approach, too. 

Our perks include:

  • Company Equity in the form of RSUs
  • Quarterly performance-based bonuses
  • Generous employer-paid health, vision and dental insurance coverage
  • Flexible vacation policy
  • Educational assistance
  • Free gym membership
  • Casual dress code
  • Team building events and activities
  • Remote work arrangements/ flexible work schedule
  • Paid parental leave 

Self Financial requires all employees hired to successfully pass a background check.

We are an Equal Opportunity Employer.

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