Regulatory Compliance Manager supporting compliance systems at a fintech company

The specialist will conduct Classroom Assessment Scoring System (CLASS) assessments for early learning providers across Infant, Toddler, and Pre-K classrooms, ensuring adherence to Teachstone reliability standards. Responsibilities also include generating detailed reports, documenting observations, inputting data into the statewide scoring database, and developing/facilitating CLASS content training sessions.

The Lead Senior Advisor executes the risk-based branch exam program for FINRA-registered and non-registered Private Client Group branches, involving detailed documentation of testing activities and communication of findings to management and leadership. Additionally, this role involves training new examiners, providing support to new hires, and assisting managers with exam packet reviews.

This role supports the first line of defense (1st LOD) programs, focusing on operational risk, AML, and compliance, while collaborating with other lines of defense to ensure risks are identified, mitigated, monitored, and reported. The position involves implementing risk management frameworks, developing mitigation strategies, acting as a subject matter expert for internal controls, and managing change initiatives.