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Compliance Officer - Monitoring & Testing

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Remy Corbet

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 year ago

  • Expiry date:


  • Startdate:


A banking client of ours is looking to add a Compliance Officer to their team to oversee the testing and montioring of the complaince program.  The role will collaborate with strategic partners to offer a wide range of consumer and commercial credit products on a national basis. They have a variety of product offerings, including: revolving line of credit, private-label credit card and installment financing programs through strategic partnerships. Each strategic partnership program is custom-tailored to their partners’ products and customers to provide the most beneficial consumer and commercial financing solutions.


The Director of Testing and Monitoring will oversee the framework and governance of the Testing and Monitoring program to lead the compliance team in conducting compliance reviews to help ensure adherence to applicable consumer protection and anti-money laundering laws. The person will manage and maintain testing and monitoring checklists as well as track testing and monitoring progress and reports performed by the compliance group. They will also be responsible for reporting testing and monitoring progress and results to the Board of Directors.

  • Oversee and conduct compliance testing and monitoring reviews of consumer protection regulations to include, but not limited to: UDAAP, BSA/AML, Fair Lending, TILA, FCRA/FACTA, SCRA, MLA, FDCPA, CAN-SPAM, GLBA, and TCPA
  • Identify compliance risks and coordinate, design and assess compliance controls and related processes and procedures
  • Review testing documents/memos for consistency and accuracy
  • Coaching direct reports on the completion of reviews and reports
  • Responsible for driving the enhancement of tools utilized in the M&T program – checklists, report templates, etc. (process improvement)
  • Responsible for ensuring that regulatory requirements are appropriately tested for by maintaining the checklists and updating them on a regular basis as regulatory change occurs and/or a new compliance risk is identified
  • Coordinate and oversee the testing staff’s reporting of identified findings
  • Review and approve testing conclusion memos and testing reports; ensure the monthly summary reports for the Compliance Committee packet are prepared
  • Responsible for the review and provision of M&T items to auditors and examiners
  • Responsible for management of the M&T schedule and completion of reviews in accordance with the schedule 


  • Bachelor's degree
  • 5+ years of monitoring and testing in a compliance department
  • Mangement experience preferred


If interested please apply here or send referrals to!