Compliance Specialist

About the role

Looking for a Compliance Specialist who wants to stay somewhere for a while. Reports to the Chief Compliance Officer. You can work from home anywhere in the US. We have no office requirement. Normal business hours, Monday to Friday, with some flexibility. We use Slack, Notion and Google Meet. Cameras on for team calls.

Responsibilities

• Advise managers on regulatory questions in day-to-day operations.
• Maintain the compliance risk assessment.
• Vet new products, marketing materials and disclosures before launch.
• Coordinate regulatory exams and audit requests, and follow findings to closure.
• Test branch and lending processes against policy and regulation.

Skills and experience

• 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.
• Experience with regulatory exams (FDIC, OCC, Federal Reserve or state regulators)
• Familiar with AML monitoring systems such as Verafin or Abrigo.
• Comfortable training groups and presenting to committees.

Perks and benefits

$94,000 - $111,000 a year

• 401(k) with 4% match.
• Referral program.
• $1,000 home office setup budget.
• Paid time off.
• Professional development budget.
• Flexible schedule.
• Employee assistance program.

The company

Founded in 2005 by an advisor who left a large brokerage to go independent. We know our clients well, often three generations of the same family. Most staff have been with the firm for more than eight years.

This position requires a background check.

Start: Flexible.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at San Antonio Financial LLC.