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Regulatory Oversight Specialist

Posted Jul 03
Full Time
Charlotte Metro

Summary: Our Enterprise FinTech client is looking to hire a Regulatory Oversight Specialist. In this role, you will collaborate with Legal, Member Success, Banking Operations, and other partners to manage compliance tasks associated with monitoring, complaint reporting, third-party oversight, and issue management. This role requires a proactive individual who can navigate ambiguity and develop scalable, repeatable processes to ensure compliance and mitigate risks.

Key Technical Skills:

  • Knowledge of deposit and loan regulations, products, and features
  • Experience in compliance and regulatory oversight
  • Proficiency in risk assessment and management
  • Familiarity with audit processes and controls
  • Experience with process documentation and improvement

Key Responsibilities:

  • Oversee audit processes to ensure compliance with policies, procedures, and regulations
  • Advise teams on complaint management and sensitive issue escalations
  • Manage documentation of key processes and foster positive working relationships across teams
  • Scope and implement preventative and detective controls to mitigate compliance risks
  • Create and improve internal monitoring and reporting processes
  • Collaborate with partners on remediation approaches and track issue resolution to completion

Additional Requirements:

  • Minimum of 3 years' experience in a financial services and compliance-related role
  • Ability to build and cultivate positive working relationships across teams
  • Strong organizational skills and attention to detail

Required Certifications/Education:

  • Bachelor's degree in a related field (e.g., Finance, Business Administration, Law)
  • Relevant certifications (e.g., Certified Regulatory Compliance Manager (CRCM), Certified Risk Professional (CRP)) are a plus