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Full-Time

Compliance Manager

Posted on 5/9/2024

Prime

Prime

11-50 employees

Small business lending via data-science technology

Financial Services

Senior

Los Angeles, CA, USA + 2 more

Category
Legal
Risk & Compliance
Legal & Compliance
Required Skills
Communications
Management
Requirements
  • Minimum of 5 years of experience in compliance and risk management within the financial services industry, especially fintech Commercial lending.
  • In-depth knowledge of relevant regulatory frameworks, including but not limited to consumer lending regulations, Bank Secrecy Act (BSA), anti-money laundering (AML), and data privacy laws.
  • Strong analytical skills with the ability to interpret complex regulatory requirements and assess their impact on business operations.
  • Excellent communication and interpersonal skills, with the ability to effectively engage and influence stakeholders at all levels of the organization.
  • Proven track record of designing and implementing compliance programs and controls that align with industry standards and best practices.
  • Ability to work independently, prioritize tasks, and manage multiple projects simultaneously in a fast-paced startup environment.
  • High level of integrity, ethical judgment, and attention to detail.
  • Commitment to integrating core values of Win the Day, Get out of the Building, Embrace the Unknown, and Excellence as a Habit in all aspects of daily responsibilities and professional interactions.
  • Bachelor's degree preferred in Business Administration, Finance, Law, or a related field.
  • Advanced degree or professional certification in compliance (e.g., CRCM, CAMS) is a plus.
Responsibilities
  • Compliance Program Development
  • Regulatory Research and Analysis
  • Risk Assessment and Management
  • Training and Education
  • Regulatory Reporting
  • Compliance Monitoring and Testing
  • Vendor Management
  • Incident Management and Resolution
  • Establish Complaints Program
  • Collaboration and Communication

Prime Financial Technologies specializes in small business lending, employing advanced data science to enhance financing outcomes. This focus not only supports the growth of the small business economy but also fosters a culture of innovation and industry-specific expertise. Working here offers the opportunity to be at the forefront of applying cutting-edge technology to real-world financial challenges, making it an excellent environment for those passionate about data-driven solutions and economic impact.

Company Stage

Series B

Total Funding

$49M

Headquarters

New York, New York

Founded

2021

Growth & Insights
Headcount

6 month growth

27%

1 year growth

64%

2 year growth

283%
INACTIVE