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Purpose:

The Compliance Testing Manager is responsible for regulatory compliance testing, and the analysis of the compliance risks inherent in the Bank's business lines, including the Bank's Strategic Partnerships. The Compliance Testing Manager regularly interacts with Partners, Senior Management, and individuals from various business units to ensure that the Bank's programs remain in compliance with all applicable banking laws and regulations. The individual in this role reports to the AVP of Compliance Testing.

Tasks:

• Assist in the development of test scripting to ensure appropriate oversight of the various compliance risks inherent to the type of partnership.
• Evaluate compliance risk assessments to determine appropriate scope and methods for testing.
• Effectively and independently perform quality testing and monitoring of partner activities pursuant to the Board approved testing schedule.
• Analyze large datasets to identify emerging compliance risks and control weaknesses.
• Utilize data analytics to support testing activities, sample selection, trend analysis, and monitoring.
• As a part of testing, review policies, and procedures relative to the compliance requirements of laws and regulations.
• Utilizing approved AI-enabled tools to enhance testing efficiency, regulatory research, data analysis, and documentation preparation.
• Assess controls designed to ensure responsible use of AI systems, including governance, validation, monitoring, consumer protection, privacy, and fair lending considerations.
• Communicate identified compliance deficiencies, gaps, and potential problems to management and staff.
• Prepare and present written information in a clear, concise, grammatically correct, and convincing manner, providing an adequate level of support for the audit work performed, and conclusions reached.
• Exhibit superior time management skills (measured by deadlines and quality of progress and projects completed).
• Maintain confidentiality of information and protect the Bank's sensitive information and materials.
• Develop and maintain rapport with the staff and management to effectively obtain and communicate information and facilitate good working relationships.
• Support the bank's business processes, identify those that involve critical activities.
• Build strong relationships with partners to manage, coordinate, and conduct oversight activities, which are customized based on the type of strategic partnership.
• Stay informed on the regulatory environment and emerging industry trends, regulatory changes, and other relevant laws and statutes.
• Maintain a comprehensive understanding of the assigned business lines, including product, processes, and regulatory requirements.
• Utilize knowledge of regulation to determine appropriate approach to testing and the identification of gaps.

Knowledge, Skills, and Abilities:

• Assess adequacy of policies, procedures, monitoring, complaint management, and training controls.
• Review corrective action plans resulting from compliance testing and exam findings.
• Ability to use tools, data, and best practices to assess compliance risk exposures.
• Strong understanding of regulatory requirements.
• Ability to analyze situations fully and accurately and reach productive decisions.
• Strong analytical and problem-solving skills used in operational evaluation and interpretation of compliance information.
• Ability to interact and collaborate effectively with all levels of management, including cross-functional and external stakeholders.
• Ability to manage, coach, and develop Compliance Testing Analysts
• Strong written and verbal communication and presentation skills with the ability to teach, directly influence change, negotiate, and appropriately escalate.
• Ability to work in a fast-paced, matrixed environment to effectively meet deadlines and work with minimal supervision.
• Experience utilizing data analytics tools including Excel, Power BI, Tableau, SQL, or similar platforms.
• Able to demonstrate client relationship skills.
• Broad thinker with ability to drive execution, achieve results and influence effectively.
• Ability to review and approve testing workpapers and write final reports.
• Able to assign testing engagements and oversee workload management.
• Provide performance feedback and support employee development plans.

• Strong attention to detail.
• Comfortable working under tight deadlines.
• Independent; able to tackle tasks independently or within a group environment.
• Organized and motivated/self-starter.
• Experience with Federal Regulations and how regulations apply to bank programs; including: Debit and Credit card payments, UDAAP, ECOA/Fair Lending, TILA, FCRA/FACTA, Privacy (GLBA / RFPA), SCRA, MLA, ESIGN, FDCPA, TCPA, CAN-SPAM, EFTA, Deposit regulations, Student Loans, & mortgage regulations, etc.

Required Education / Experience / License:

• Bachelor's degree in Business Administration, Finance, or related field; or equivalent related experience.
• Two or more years of experience working in a bank or other financial institution.

Preferred Education /Experience / License:

• Master's degree or JD degree with emphasis in business, compliance, or related field.
• Certified Regulatory Compliance Manager (CRCM) is preferred.
• Demonstrated ability to manage and lead.

Minimum Essential Requirements:

• Sit or stand at a computer for extended periods of time and look at a computer screen for several hours a day.
• Work at an assigned FinWise office location.
• Communicate with others in person, on the phone, virtual meeting, and email.
• Maintain confidentiality.
• Lift 20 lbs.
• Maintain regular and punctual attendance.
• Work overtime as assigned.
• Travel overnight as required.
• Work cooperatively with others.
• Driving during workday.
• Comply with all company policies and procedures.

Background checks are required on all bank employees due to the accessibility of Personally Identifiable Private Information.

AAP/EEO Statement

FinWise is an equal opportunity employer and dedicated to diversity and inclusion in the workplace. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender identity, sexual orientation, age, marital status, pregnancy status, veteran status, or disability status.

FinWise provides reasonable accommodations to the known disabilities of individuals in compliance with the Americans with Disabilities Act. For accommodation information or if you need special accommodations to complete the application process, please contact the Human Resources Department (801) 545 - 6041.

Qualified applicants with criminal history and conviction records will be considered in accordance with legal requirements.