Location: United States – Remote (US) or Hybrid (NYC / SF Bay Area / Austin / Miami). Open to candidates based in: NY, NJ, CT, CA, TX, FL, MA, IL (and other states depending on client).
Reports to: CCO (or Head of Compliance Assurance).
Role Overview
The Compliance Testing & Monitoring Lead builds and runs the compliance assurance program, providing independent monitoring and testing across AML/BSA, consumer compliance (UDAAP), and policy adherence. This role validates control effectiveness and drives evidence-based remediation.
Key Responsibilities
- Design and execute a risk-based compliance monitoring and testing plan across key regulatory obligations and controls.
- Perform control testing, thematic reviews, and quality assurance of compliance processes (including AML investigations and SAR governance where applicable).
- Document testing results, identify root causes, and partner with control owners to agree remediation actions and timelines.
- Maintain a central issues register and track remediation to closure with supporting evidence.
- Support internal/external audits and regulatory exams with well-organised workpapers and documentation.
- Develop compliance metrics and reporting for leadership and governance committees.
Required Experience
- 5–10 years in compliance testing/monitoring, internal audit, or compliance assurance within financial services or FinTech.
- Strong understanding of AML/BSA and/or consumer compliance requirements and control testing methodologies.
- Excellent documentation, analytical, and stakeholder management skills.
Preferred Background
- Experience building testing programs in a scaling environment; familiarity with GRC tooling.
- Professional certifications (e.g., CAMS, CRCM, CIA) are beneficial.
Compensation Guidance
Typical US compensation: $140,000 – $190,000 base, plus bonus/equity depending on stage.
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