Compliance Associate, Regulatory

About us

Since 2000, the firm has administered 401(k) and profit-sharing plans for employers in Pennsylvania. Mortgage brokers in Pennsylvania send us loans to underwrite, close and fund. Licensing exams (SIE, Series 7, Series 66) are paid for, with study time during work hours.

FW Planning Group needs someone who knows BSA/AML and consumer compliance and can explain regulations to branch staff in plain terms. Remote, open to candidates across the US. Normal working hours, Monday to Friday.

Main duties

• Write and update compliance policies and procedures.
• Monitor compliance with BSA/AML, OFAC and consumer rules such as Reg E, Reg Z and TRID.
• Advise managers on regulatory questions in day-to-day operations.
• Perform enhanced due diligence reviews on higher-risk accounts.
• Track regulatory changes and assess their effect on products and processes.

What you'll need

• 0-2 years of compliance, audit or risk experience in banking or financial services.
• Strong writing for policies, findings and board reports.
• Sound judgment and the confidence to escalate.
• Bachelor's degree in business, finance or a related field.
• Organized, with a careful approach to documentation.
• Working knowledge of BSA/AML, OFAC and consumer lending regulations.

What you get

• Health, dental and vision coverage starting on day one.
• 401(k) with company match.
• 11 paid holidays.
• Annual bonus.
• Life insurance.
• Gym membership reimbursement.
• Employee discount.

We are an equal opportunity employer. If you need an accommodation during the application process, let us know.

This position requires a background check.

Start: Within 30 days.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at FW Planning Group.