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Sr Compliance Analyst



Lending Club



San Francisco, CA, US


About the Role


LendingClub's Compliance Testing and Monitoring Team is seeking talented individuals for a position as a Sr. Compliance Analyst (CA) in support of the company's Enterprise Compliance Testing and Monitoring Team, based in San Francisco, California. As a Sr. Compliance Analyst you will support all business lines by performing regulatory compliance testing based on LendingClub's Compliance Risk Assessment Program in order to evaluate the effectiveness of controls, systems, and operating procedures. Follow established compliance testing standards and sampling guidelines, develop testing steps, and exercise judgement with appropriate supervision. Thoroughly document testing results in work-papers, collaborate with business partners on exceptions identified, and recommend solutions for those areas where issues were identified.

The Sr. Compliance Analyst will be responsible for executing risk-based compliance testing for the purpose of independently validating adherence to consumer regulations including but not limited to Consumer Regulations B, E, V, Z, Privacy, SCRA, FDCPA, and UDAAP. The Sr. Analyst will also support testing and monitoring for LendingClub’s BSA/AML program and for the Investor lines of business (Retail and Institutional). The successful candidate must have outstanding communication skills, an ability to anticipate and deliver on the needs of a fast-paced and innovative business, and the flexibility to simultaneously manage a wide range of projects.



What You'll Do


  • Assist in test planning including documenting the testing approach and plan, communication with internal business partners, determining appropriate sample size guidance and coordinating the end to end review process. 
  • Support risk assessment activities in conjunction with Compliance Advisory
  • Perform end to end compliance testing for all business lines based on the Testing and Monitoring calendar
  • Evaluate issues identified, including root cause and issue severity, and draft recommendations to improve policies, procedures, potential efficiencies, and controls.
  • Prepare work-papers according to the Compliance Management Program.
  • Document and prepare final reports to be escalated to senior management
  • Establish and maintain strong relationships with internal and external business partners
  • Monitor regulatory/legal developments, assess impacts and provide oversight to ensure they are effectively communicated to business teams, the LOB and appropriate actions are taken
  • Participate in ad hoc projects as needed, as related to role.



About You


Basic Qualifications

  • Minimum of 3 years of experience in financial services, audit or compliance testing
  • Strong interpersonal, communication and influencing skills
  • Proficiency in MS Office Applications such as Word and Excel
  • Comfortable with balancing multiple, competing priorities and changes in scope / direction
  • Superb attention to detail and accuracy
  • Critical thinking skills and ability to exercise judgement
  • Demonstrated knowledge of general compliance requirements


Preferred Qualifications

  • 3+ years of financial services experience, preferably in compliance, risk management and/or audit roles
  • 2 years of testing controls – compliance, audit, accounting, finance, or related field
  • Willing and able to learn new laws, rules and regulations and creatively apply to LendingClub's business model
  • Demonstrated application of compliance laws and regulations such as TILA/Regulation Z, ECOA/Regulation B, FCRA, FACTA, FDCPA, Privacy, SCRA, BSA/AML, EFTA and/or GLBA.  Also, demonstrated application of laws related to BSA/AML and Investor Compliance.

LendingClub 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. We believe that a variety of perspectives will make our teams and business stronger as we work together to transform the traditional banking system​.

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