Principal Compliance Associate
Job Description:
• Owning governance and oversight of U.S. consumer protection obligations, including accountability for complaint management, regulatory responsiveness, and consumer harm remediation.
• Serving as the primary compliance lead for consumer-related regulatory complaints, inquiries, and project management of consumer compliance examinations from the CFPB and state regulators, ensuring timely, consistent, and high-quality regulatory engagement.
• Establishing and maintaining a robust consumer complaint governance framework, including control requirements and implementation, register ownership, trend and root-cause analysis, escalation protocols, and reporting to senior stakeholders.
• Providing leadership and oversight for consumer regulatory and licensing requirements, including examinations, renewals, reporting submissions, and expansion into new jurisdictions.
• Acting as a central point of accountability for consumer compliance workflows, with ownership of Jira project boards, Confluence documentation, and regulatory tracking to ensure auditability and operational resilience.
• Designing, reviewing, and approving consumer duty-related SOPs, policies, and compliance programs, embedding governance standards and clear ownership across teams.
• Owning oversight of consumer-facing disclosures, notices, and documentation to ensure they are accurate, transparent, and aligned with evolving federal and state consumer protection expectations.
• Partnering with Legal, Product, Operations, and Risk to embed consumer protection and conduct risk considerations into new entity integrations and new product or service launches.
Requirements:
• 5+ years of progressive experience in regulatory compliance, consumer protection, licensing, or risk management, or an equivalent combination of experience and advanced education in law, finance, business, or a related field.
• Demonstrated subject matter expertise in U.S. federal and state consumer protection frameworks (including but not limited to UDAAP, Reg E, Reg DD, Reg Z) as well as complaint handling and money transmitter and lending licensing and examination processes.
• Proven ownership of compliance governance functions, including complaint management programs, regulatory issue tracking, remediation oversight, and risk escalation to senior stakeholders.
• Experience serving as a primary point of contact with regulators, including drafting and overseeing formal regulatory responses, managing examinations, and coordinating cross-functional inputs.
• Strong ability to design, implement, and maintain compliance frameworks, policies, SOPs, and controls aligned with consumer protection and fair consumer outcomes.
• Demonstrated experience using project management tools, including Jira, Confluence, or similar tools to manage compliance workflows, regulatory deliverables, and audit-ready documentation.
• Exceptional organizational skills with the ability to prioritize and manage competing regulatory obligations, meet SLAs, and exercise sound judgment under time and risk pressure.
• Excellent written and verbal communication skills, including the ability to translate complex regulatory requirements into clear, actionable guidance and defensible regulatory documentation.
Benefits:
• Offers Equity
• Offers Bonus
• Health insurance
• 401(k) matching
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• Owning governance and oversight of U.S. consumer protection obligations, including accountability for complaint management, regulatory responsiveness, and consumer harm remediation.
• Serving as the primary compliance lead for consumer-related regulatory complaints, inquiries, and project management of consumer compliance examinations from the CFPB and state regulators, ensuring timely, consistent, and high-quality regulatory engagement.
• Establishing and maintaining a robust consumer complaint governance framework, including control requirements and implementation, register ownership, trend and root-cause analysis, escalation protocols, and reporting to senior stakeholders.
• Providing leadership and oversight for consumer regulatory and licensing requirements, including examinations, renewals, reporting submissions, and expansion into new jurisdictions.
• Acting as a central point of accountability for consumer compliance workflows, with ownership of Jira project boards, Confluence documentation, and regulatory tracking to ensure auditability and operational resilience.
• Designing, reviewing, and approving consumer duty-related SOPs, policies, and compliance programs, embedding governance standards and clear ownership across teams.
• Owning oversight of consumer-facing disclosures, notices, and documentation to ensure they are accurate, transparent, and aligned with evolving federal and state consumer protection expectations.
• Partnering with Legal, Product, Operations, and Risk to embed consumer protection and conduct risk considerations into new entity integrations and new product or service launches.
Requirements:
• 5+ years of progressive experience in regulatory compliance, consumer protection, licensing, or risk management, or an equivalent combination of experience and advanced education in law, finance, business, or a related field.
• Demonstrated subject matter expertise in U.S. federal and state consumer protection frameworks (including but not limited to UDAAP, Reg E, Reg DD, Reg Z) as well as complaint handling and money transmitter and lending licensing and examination processes.
• Proven ownership of compliance governance functions, including complaint management programs, regulatory issue tracking, remediation oversight, and risk escalation to senior stakeholders.
• Experience serving as a primary point of contact with regulators, including drafting and overseeing formal regulatory responses, managing examinations, and coordinating cross-functional inputs.
• Strong ability to design, implement, and maintain compliance frameworks, policies, SOPs, and controls aligned with consumer protection and fair consumer outcomes.
• Demonstrated experience using project management tools, including Jira, Confluence, or similar tools to manage compliance workflows, regulatory deliverables, and audit-ready documentation.
• Exceptional organizational skills with the ability to prioritize and manage competing regulatory obligations, meet SLAs, and exercise sound judgment under time and risk pressure.
• Excellent written and verbal communication skills, including the ability to translate complex regulatory requirements into clear, actionable guidance and defensible regulatory documentation.
Benefits:
• Offers Equity
• Offers Bonus
• Health insurance
• 401(k) matching
Apply tot his job
Apply To this Job