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Senior Compliance Associate

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Austin Good

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    5 months ago

  • Expiry date:


  • Startdate:


A Financial Services partner of ours in Dallas, Texas is looking for a Senior Compliance Associate to join thier growing team. Reporting to our Chief Compliance Officer, the Senior Compliance Associate is responsible for conducting compliance audits, creating compliance policies and procedures, monitoring changes in laws and regulations, executing compliance risk assessments, and implementing controls to prevent violation of law, rule, or regulation.


As a Senior Compliance Associate, you will: 

Compliance Audits

  • Execute regulatory audits to ensure compliance with state and federal consumer financial laws
  • Compile audit reports and present any findings to members of the Compliance Committee
  • Oversee remediation of any audit findings by partnering with other department managers
  • Act as a point of contact and assist in gathering documentation for external auditors

Creation of Compliance Policies and Procedures

  • Develop policies and procedures to ensure compliance with state and federal consumer financial laws
  • Update policies and procedures to reflect learnings from internal and external audits
  • Assess revisions to regulations, identify impact on policies, and communicate updates to senior business leaders

Regulatory Compliance

  • Manage projects spanning various lines of business to implement compliance controls
  • Provide regulatory support and guidance to company personnel
  • Researching legislation and rules to design and implement compliance policies, procedures, and controls necessary to comply

Product Development

  • Provide compliance guidelines to the design and development of physical and digital consumer financial products
  • Implement guidelines by working with leaders from various lines of business
  • Validate implementation of compliance guidelines through user acceptance testing
  • Review marketing material to ensure compliance with state and federal regulations

Compliance Risk Assessments

  • Build and maintain risk assessments to evaluate the impact of controls on the inherent risk of federal and state consumer financial protection laws and regulations

Other Assigned Duties

  • Respond to correspondence received by attorneys and consumers
  • Assist with regulatory inquiries and/or examinations - will include coordination with regulators and other parties


As a Senior Compliance Associate, you will need: 

  • Bachelor’s Degree
  • 5+ years of relevant experience
  • Working knowledge of Microsoft Office, Teams, and SharePoint
  • Knowledge of TCPA, UDAAP, E-SIGN, NACHA, FDCPA, Reg B, Reg E, EFTA, SCRA, and MLA, TILA, and other federal consumer financial protection laws
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Strong written and verbal communication and interpersonal skills
  • Excellent interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Detail oriented with the ability to identify potential compliance related risks through compliance oversight activities
  • Must be able to prioritize and manage multiple activities and drive results with a high sense of urgency
  • Current Compliance Certification (CRCM or CAMS)
  • Local (Dallas/Fort Worth area) candidates only – no relocation
  • Must be currently authorized to work in the United States without sponsorship and not require sponsorship in the future

Preferred Qualifications

  • Working knowledge of regulations related to open line of credit products
  • 3+ years’ experience developing compliance guidelines for short term credit products


If you are a skilled Compliance Professional, you can apply by:

Selecting the “Apply” button below or by contacting me directly.

As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Banking Institutions across the West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

Austin Good, or (619) 350-6195