Senior Compliance Analyst

Alexander Barnes is leading the search for a Senior Compliance Analyst to join a rapidly scaling FinTech transforming the corporate credit and payments space.

This role supports the US Compliance team in executing and enhancing its compliance programme, ensuring regulatory adherence and operational efficiency.

The successful candidate will thrive in a fast-paced environment, driving detailed compliance testing, monitoring, and reporting initiatives that contribute to the company’s responsible growth.

Key Responsibilities

• Compliance Testing and Monitoring:
• Execute testing activities to assess the effectiveness of compliance controls and processes. Assist in developing dashboards and tracking metrics to identify trends and enhance oversight.
• Root Cause Analysis:
• Investigate compliance issues and incidents, performing in-depth root cause analysis and documenting findings for resolution.
• Customer Complaint Management:
• Address escalated customer complaints, conducting thorough reviews and delivering written responses. Identify trends to inform compliance improvements.
• Regulatory Reporting and Documentation:
• Prepare accurate and timely compliance reports for bank partners, internal stakeholders, and regulatory bodies. Maintain detailed documentation of policies, controls, and findings.
• Policy and Controls Development:
• Assist in drafting and maintaining compliance policies and procedures, ensuring alignment with regulatory requirements. Contribute to the development and implementation of controls and programme enhancements.
• Marketing Review:
• Review marketing materials to ensure compliance with applicable regulations.
• Ad-Hoc Projects:
• Support additional compliance-related initiatives, including internal reporting, trend analysis, and the implementation of new tools or controls.

About You

• Experience:
• 3-5 years in financial services, with expertise in compliance testing, monitoring, or a related control function.
• Familiarity with compliance processes such as root cause analysis, marketing review, policy development, and regulatory reporting.
• Skills:
• Exceptional attention to detail with strong analytical and writing skills.
• Proficiency in managing multiple projects in a dynamic environment.
• Experience with SQL or similar tools is a plus.
• Attributes:
• A proactive problem-solver who works effectively both independently and as part of a team. Strong organisational skills and a commitment to delivering results.