Compliance Director (online lending industry)

OUR COMPANY MISSION & CULTURE

Leading the industry by treating our clients and employees with respect, honesty & integrity.

As a leader in the financial services industry, we were founded by a small group of passionate executives with over 70 years of combined experience in asset management. We believe our success and our strength comes not only from our experience, but also from our conviction to treat both clients and employees with respect, honesty and integrity.

Soaren Management believes our success flows directly from our employees. As such, it’s in our best interest to provide all the support they need to succeed and thrive. For that reason, Soaren Management is expanding its search for fresh talent and developing our current talent. Our commitment to our team ensures value and service to our ever-growing customer base through hiring and growing our people-centric, diverse, and forward-thinking talent.

ABOUT THE POSITION

As Compliance Director you’ll work with members of Management and administrative Soaren employees to plan, direct, or coordinate activities to ensure industry compliance. You will use your logic and reasoning to identify systemic strengths/weaknesses, and make suggestions that will bring both company and individuals back in to compliance when deemed necessary.

• Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
• File appropriate compliance reports with regulatory agencies.
• Conduct or direct the internal investigation of compliance issues.
• Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
• Disseminate written policies and procedures related to compliance activities.
• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
• Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
• Provide employee training on compliance related topics, policies, or procedures.
• Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
• Advise internal management or business partners on the implementation or operation of compliance programs.

REQUIREMENTS

• Must have at least 3 years experience working in finance, lending or banking industries
• Advanced regulatory knowledge regarding online financial transactions and or banking
• Bachelor’s Degree in Engineering, Business, or similar, or equivalent industry experience.

COMPENSATION AND BENEFITS

• Very competitive compensation package
• Traditional group medical/dental/vision/life insurance (Gold and Silver plans available)
• Company matching 401k (4%, immediate vesting)
• Paid Time Off
• Long-term career growth
• Corporate Perks Program
• A modern workplace with additional company benefits: monthly happy hours, annual company outings, free office beverages, snacks

Work Location:

• One location

Benefits:

• Health insurance
• Dental insurance
• Vision insurance
• Retirement plan
• Paid time off
• Professional development assistance
• Tuition reimbursement

This Company Describes Its Culture as:

• Stable — traditional, stable, strong processes
• People-oriented — supportive and fairness-focused
• Team-oriented — cooperative and collaborative