Regulatory Compliance Manager
One Park Financial · Salt Lake City
About the Role
Fund Street Technologies is a fintech lending platform for commercial financing to small and mid-sized businesses. As our client volume and product set grow, we’re in need a seasoned Regulatory Compliance Manager to help build out and run our compliance monitoring and testing program and strengthen compliance pillars.
This person will own our monitoring and testing plan, serve as the compliance reviewer for marketing and advertising, and manage compliance issues and complex, cross-functional initiatives from intake through remediation. This is a builder's role: you'll help design and mature the program. The role works closely with Legal, Risk, Operations, Marketing, and external partners.
Key Responsibilities
Monitoring and testing
- Build out and run the compliance monitoring and testing plan, including defining and risk-ranking the testing universe, writing test scripts, and setting review frequency.
- Execute periodic reviews, document results and exceptions, and track remediation to closure.
- Report monitoring results, gaps, and risk trends to senior leadership and relevant committees.
Marketing and advertising review
- Serve as the primary compliance reviewer and approver for marketing assets in various forms across numerous channels.
- Confirm that all advertising is fair, accurate, and consistent with company values, applicable lending regulations, and partner requirements.
Issue management and compliance initiatives
- Manage compliance issues end-to-end, from intake and root-cause analysis through corrective action plans and validation.
- Lead complex, cross-functional compliance initiatives such as new product launches, regulatory change implementation, and external partner or audit-driven workstreams.
- Partner with Legal, Risk, and Operations to translate regulatory requirements into policies and practical, operating controls.
Requirements
- 5+ years in regulatory compliance, monitoring and testing, or a related second-line role, within consumer or commercial lending (bank, fintech, or specialty finance).
- Hands-on experience building or significantly enhancing a compliance monitoring and testing program, including developing test scripts.
- Working knowledge of U.S. lending and marketing regulations from the CFPB and FTC, such as UDAP/UDAAP, ECOA/Reg B, FCRA, and GLBA, and an understanding of how commercial lending differs from consumer lending.
- Experience reviewing marketing and advertising materials for compliance.
- Experience managing issues and remediation, including root-cause analysis and corrective action plans, often through ticketing tools such as Jira.
Benefits
- Competitive salary
- Health insurance
- Growth and development opportunities
- Dynamic and collaborative work environment
- Company events and team-building activities
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