1 month ago
Job Summary
As Compliance Director, you will work directly with Legal, Finance and Risk leadership to lead Pipe’s compliance program and provide company-wide support on a range of projects, including compliance monitoring and testing, maintaining firm policies and procedures, and assisting with regulatory examinations and audits. You are a collaborative team player, with the ability to develop relationships with key stakeholders from across the organization. Experience working in a compliance role is required, and a willingness to learn, uncompromising integrity, and a firm commitment to building better markets and developing new asset classes are must-haves
- Minimum Qualification:Degree
- Experience Level:Senior level
- Experience Length:5 years
Job Description/Requirements
Responsibilities:
- Execute and lead all objectives of the company’s compliance program, including client onboarding and customer due diligence, transaction monitoring and investigations
- Evaluate existing regulations, perform compliance risk assessments, provide regulatory guidance on new product development, advise on platform development in response to changing regulations, identify and develop monitoring and testing routines and partner with business leaders to address client inquiries
- Coordinate with business, product, engineering and operational teams to provide an optimal customer experience
- Act as subject matter expert on commercial financing regulatory compliance and ensuring products and associated documentation conform to regulatory obligations
- Use routine audits to identify potential compliance risks and draft compliance reports with recommendations
- Help implement policies, systems, or controls to reduce risk
- Regularly engage with bank partners as well as relevant regulatory entities as necessary
- Support the development and implementation of the compliance training policy aimed to educate employees about regulatory and legal requirements
Qualification:
- 5-7 years of compliance experience at a financial institution or fintech company
- Extensive knowledge of compliance-related laws and regulations
- A fundamental understanding of anti-money laundering and sanctions regulations
- Experience with one or multiple compliance functions, including transaction monitoring, sanctions screening, client onboarding, KYC / AML, or business identity verification
- Experience developing the elements of a compliance program, including risk assessment, monitoring and testing planning, third-party oversight, and compliance training
- Experience communicating compliance risks associated with product proposals and advising stakeholders on developing both customer-facing content and key operational controls
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