Summary:
As the Compliance Manager for Regulatory Licensing and State Examinations, you will be primarily responsible for management of the Company’s processes for obtaining state regulatory licenses, including renewals, for its consumer operations, and for the management of the Company's processes for responding to state regulatory examinations. Licensing responsibilities include but are not limited to the National Multistate Licensing System & Registry (“NMLS”), state business licensing and Doing Business As (“DBA”) filings or registrations. You will report directly to the Chief Compliance Officer and will collaborate closely with internal and external teams to support the Company’s licensing and state examination areas. Other duties include supporting the Chief Compliance Officer and the compliance team with maintaining the Company’s compliance management program.
Essential Duties:
- Coordinate and assist with state regulatory examinations throughout the year, including document preparation and submissions, and tracking document requests, responses, and actions required to close-out examinations.
- Respond to state examiner ad hoc requests.
- Facilitate and assist with the preparation and submission of monthly, quarterly, and annual licensee reports, primarily through NMLS.
- Facilitate and manage the tracking of information and project management of new state license applications and renewal applications and work collaboratively with internal and external teams to ensure the successful approvals of licenses needed to support the Company’s consumer operations.
- Coordinate and assist with the onboarding of new officers or directors, which includes ensuring background screening, fingerprinting and the various forms and notifications are filed and processed in a timely manner.
- Keep abreast of applicable new or changed laws or regulations and their impacts to the Company’s state regulatory licensing and examination areas.
- Prepare and present state regulatory licensing and examination information at meetings, including Management meetings, as appropriate.
- Support the Company’s compliance management program, including by performing monitoring and testing activities, developing, and implementing policies and procedures, and designing controls.
- Perform other duties as assigned.
Education & Experience:
- Bachelor’s degree, preferably in business, finance, or a related field.
- 5 or more years of experience in a compliance role responsible for state regulatory licensing and examination functions, preferably in the financial services industry.
- Experience working with a state-licensed lender and with bank partnership programs, preferred.
- Experience with NMLS and Microsoft Office products.
- Strong knowledge of applicable state licensing laws and regulations.
Competencies:
- Excellent communication skills, both written and verbal.
- Strong analytical and critical thinking skills.
- Motivated initiative-taker with excellent organizational and time-management skills and an ownership mindset.
- Ability to work collaboratively with other departments and teams, as well as independently.
- Organizational, time, and project management skills.
- Demonstrates initiative and is a continuous learner.
- Teamwork oriented and ability to work in cross functional teams.
**Position can be remote; however, hiring in states wherein current staff is employed.