Compliance Response Specialist I

Socket.dev; Rothschild (WI); On-site; USD 60,000 - 70,000; Full time

Benefits offered by this job

Day-one Health Benefits

401(k) with company match

Paid Time Off

Paid Parental Leave

Employer Paid Life and Disability

Wellbeing on Demand Program

Flexible Work Environment

Job summary

Foundation Finance is seeking a Compliance Response Specialist I to assist in administering and coordinating the company's compliance response processes. You will work across business units to manage complaints, regulatory examinations, and remediation, ensuring timely, accurate outcomes in collaboration with the Compliance Response Manager.

Minimum qualifications include a Bachelor’s degree and two years of related compliance experience, plus proficiency with Microsoft Office and related

Qualifications

• Bachelor’s degree or equivalent.
• Two years related experience in compliance, risk management, regulatory affairs, or a related function within financial services.
• Experience interacting with regulatory agencies, responding to legal process, and managing remediation activities preferred.
• Knowledge of Microsoft Office suite and role-specific software.

Responsibilities

• Facilitate and support end-to-end compliance response workflows from intake to closure.
• Prepare and deliver responses to examination requests, audit inquiries, and consumer complaints.
• Support issue management and remediation activities with timely tracking and evidence.
• Serve as a point of contact for partners, regulators, and third parties.
• Conduct root cause analysis to strengthen controls and prevent issues.
• Contribute metrics and trend analyses for reporting.
• Build relationships to promote proactive compliance awareness.
• Stay current on industry best practices and regulatory changes.

Skills

Compliance experience

Regulatory affairs

Cross-functional collaboration

Education

Bachelor’s degree or equivalent

Tools

Microsoft Office

Job description

Compliance Response Specialist I Duties:

The Compliance Response Specialist I is responsible for assisting in the administration, coordination, and execution of the Company's compliance response processes. This role will work timely and cross-functionally with multiple business units to administer processes related to complaints, issue management and remediation, regulatory examinations, outsourced internal audit, and other compliance response domains.

Pay Range

USD $60,000.00 - USD $70,000.00 /Yr.

Essential Duties and Responsibilities include the following. Other duties may be assigned.

• Facilitate and support individual compliance response workflows end-to-end, from initial intake and stakeholder engagement to investigation through closure, maintaining timely, accurate outcomes in coordination with the Compliance Response Manager.
• Assist in the preparation and delivery of responses to examination requests, audit inquiries, consumer complaints, and internal business unit escalations, synthesizing cross-functional input into cohesive deliverables.
• Support issue management and remediation activities related to compliance initiatives proactively tracking corrective actions, validating closure evidence, and confirming remediation commitments are met within established timelines.
• Act as an additional point of contact for business partners, regulators, and third parties, driving follow-ups, clarifying expectations, and maintaining accountability across teams.
• Conduct root cause analysis to strengthen and enhance the Company's compliance controls and framework to prevent potential compliance issues.
• Assist in the management and maintenance of compliance response reporting by contributing meaningful metrics and trend analyses.
• Build and maintain strong working relationships with business partners to promote a culture of proactive compliance awareness and responsiveness across the organization, supporting business partners in understanding regulatory expectations.
• Stay current on industry best practices, regulations, and changes in applicable laws and contribute to process improvements, updating procedures, and creating efficiencies.
• Other duties as assigned by management. Must be able to come to work promptly and regularly. Must be able to take direction and work well with others. Must be able to work under the stress of deadlines. Must be able to concentrate and perform accurately. Must be able to react to change productively.

Minimum Qualifications:

• Bachelor’s degree or equivalent.
• Two years related experience in compliance, risk management, regulatory affairs, or a related function within financial services.
• Experience interacting with regulatory agencies, responding to legal process, and managing remediation activities is preferred.
• To perform this job successfully, an individual should have knowledge of Microsoft Office suite and any applicable role specific development or design software.

About Foundation Finance:

Foundation Finance Company (FFC), a Great Place to Work® certified company since 2017, is a fast-growing consumer finance company working with home improvement contractors across the U.S. to drive sales through flexible, customer-focused financing options.

Available Benefits:

• Day-one Health Benefits (medical, dental, vision, and flexible spending options like HSA or FSA accounts).
• 401(k) with company match enrollment on day-one.
• Paid, Sick and Volunteer Time Off
• Paid Parental Leave Options
• Employer Paid Life and Disability
• Wellbeing on Demand Program
• Flexible Work Environment with a casual dress code

*Employment status (full-time or part-time) may affect eligibility for certain benefits. Some benefits become available only after a specified period of employment. Please refer to our Benefits page for details.

Office environment with significant time spent sitting, typing and talking on the telephone.

Foundation Finance Company provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

If you reside in the state of Colorado, please click on the following link to review our benefits: Foundation Finance Benefits

These benefits are designed to support our employees in their professional growth, health, and overall well-being. Eligibility, coverage details, and enrollment processes will be provided during the onboarding process. At Foundation Finance Company, we are committed to fostering a positive work environment where employees can thrive both personally and professionally.

Remote Work Disclaimer

Foundation Finance Company LLC requires that remote employees must reside in one of the following states to be considered for any of our remote positions: AL, AR, AZ, CO, FL, GA, IL, IN, KY, LA, MD, MI, MN, MO, MS, NC, NJ, NV, NY, OH, OK, OR, SC, TN, TX, UT, VA, WA, and WI.