Compliance Testing Manager - FinTech

Alexander Barnes; New York (NY); On-site; USD 80,000 - 140,000; Full time

Job summary

Join a dynamic FinTech company as a Compliance Testing and Monitoring Manager, where you'll lead the development and execution of compliance monitoring processes. This role is pivotal in ensuring adherence to evolving regulatory standards and internal controls, providing you with the opportunity to make a significant impact in the financial services sector. With a focus on regulatory compliance oversight, testing, and risk management, you'll work closely with senior leadership and play a crucial role in navigating the complexities of compliance in a fast-paced environment. If you thrive in high-growth settings and are passionate about regulatory compliance, this position is perfect for you.

Qualifications

• 3-5 years in regulatory compliance, audit, or risk management.
• Strong understanding of U.S. banking regulations.
• Familiarity with GDPR and CCPA.

Responsibilities

• Ensure adherence to U.S. banking laws and regulations.
• Lead compliance testing and monitoring activities.
• Prepare compliance testing reports for senior management.

Skills

Regulatory Compliance

Risk Management

AML Transaction Monitoring

Analytical Skills

Communication Skills

Attention to Detail

Organizational Skills

Education

Bachelor's Degree in Finance or Related Field

Tools

Actimize

Verafin

Job description

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Alexander Barnes is leading the search for a Compliance Testing and Monitoring Manager to join a fast-growing FinTech transforming corporate credit and payments.

This role will drive the development, execution, and optimisation of compliance monitoring and testing processes — ensuring strong internal controls and alignment with evolving regulatory standards.

Reporting directly to senior leadership, you'll play a pivotal role in helping the business meet its regulatory obligations efficiently and confidently.

Key Responsibilities:

Regulatory Compliance Oversight

• Ensure adherence to U.S. banking laws and regulations, including BSA/AML, OFAC, Regulation E, UDAAP, Regulation Z, and consumer protection laws (CFPA, ECOA).
• Develop and maintain frameworks for emerging compliance areas, including GDPR and CCPA.
• Evolve compliance processes to align with updates in federal and state regulations.

Testing and Risk Management

• Lead the planning and execution of compliance testing and monitoring, with a focus on financial crime risks.
• Apply a risk-based approach to identify, assess, and mitigate compliance issues.
• Continuously refine testing procedures for relevance and effectiveness.
• Leverage tools like Actimize or Verafin to support monitoring activities.

AML and Sanctions Compliance

• Oversee sanctions screening processes and ensure compliance with OFAC regulations.
• Manage timely and accurate filing of SARs and CTRs with FinCEN.
• Ensure adherence to KYC and Enhanced Due Diligence (EDD) requirements.

Audit and Examination Preparation

• Lead preparations for internal and external audits, including pre-exam readiness and post-audit remediation.
• Act as the main point of contact for regulators and internal stakeholders during reviews.

Reporting and Documentation

• Prepare detailed compliance testing reports for senior management.
• Track and validate corrective actions to ensure timely resolution of issues.
• Maintain thorough documentation of findings, actions, and regulatory communications.

Change and Emerging Risk Management

• Assess compliance risk for new product launches and market expansions.
• Evaluate emerging tech-related risks, ensuring compliance with regulatory expectations.
• Monitor third-party and vendor compliance risks.

About You

Experience and Knowledge

• 3–5 years in regulatory compliance, audit, or risk management within banking, financial services, or FinTech.
• Strong understanding of U.S. banking regulations, including BSA/AML, OFAC, Reg E, Reg Z.
• Familiarity with consumer protection laws (CFPA, ECOA) and data privacy regulations (GDPR, CCPA).
• Experience with partner bank models and third-party oversight is a plus.

Skills

• Proficiency in AML transaction monitoring platforms like Actimize or Verafin.
• Strong analytical skills and the ability to assess and manage compliance risks.
• Clear and confident communicator—able to present complex findings to senior stakeholders.
• Highly organised, with the ability to balance multiple priorities in a fast-moving environment.

Attributes

• Exceptional attention to detail and accuracy in documentation.
• Proactive and solutions-focused, with a strong sense of ownership.
• Energised by fast-paced, high-growth environments.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Legal

• Industries

  Financial Services, Internet Marketplace Platforms, and Technology, Information and Media

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