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TITLE

 

Sr Compliance Anaylst

COMPANY

 

Lending Club

LOCATION

 

San Francisco, CA, US / Lehi, UT, US

Description

The Sr. Compliance Analyst will report to the Manager, Compliance Testing and will support the Enterprise Compliance Testing Team in conducting regulatory compliance testing to independently evaluate the effectiveness of internal controls, systems, and operating procedures. The Sr. Compliance Analyst will be responsible for leading the execution of risk-based reviews related to the BSA/AML Program based on established testing standards. The Sr. Analyst will also assist in conducting testing related to the Borrower and Investor lines of business and other ad-hoc projects related to the role. This role can be based in San Francisco, California or Lehi, Utah.

 

 

What You'll Do

 

  • Lead and assist in executing end to end compliance testing for all lines of business based on the Annual Compliance Test Plan
  • Participate and lead walkthroughs and discussion with key stakeholders for areas under review
  • Identify and conduct transactional testing, as needed
  • Evaluate issues identified, including root cause and issue severity, and draft recommendations to improve policies, procedures, potential efficiencies, and controls
  • Collaborate with business partners on exceptions identified to develop an appropriate action plan
  • Track and validate corrective action within internal tracking systems
  • Prepare work-papers according to internal standards and procedures
  • Document and prepare final reports to be escalated to senior management
  • Establish and maintain strong relationships with internal and external business partners
  • Participate in planning discussions on future program enhancements
  • Participate in ad-hoc projects related to role, as needed
     

 

 

About You

 

  • Minimum of five (5) years of experience in financial services, audit or compliance testing
  • Strong interpersonal, communication and influencing skills
  • Must have demonstrated knowledge of BSA/AML & Sanctions laws
  • Demonstrated knowledge of compliance laws and regulations such as TILA/Regulation Z, ECOA/Regulation B, FCRA, FACTA, FDCPA, Privacy, SCRA, EFTA and/or GLBA and Investor Compliance laws preferred
  • Proficiency in MS Office Applications such as Word and Excel
  • SQL experience is a plus
  • Ability to manage competing priorities, work independently, and deliver results
  • 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
     


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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