Senior Manager, Compliance Monitoring & Risk Controls

Prime Team Partners; Los Angeles (CA); Sur place; USD 155 000 - 190 000; Plein temps

Résumé du poste

Prime Team Partners is seeking a Senior Manager, Compliance Monitoring & Automation to design and scale automated controls across lending, servicing, and operations. This role sits at the intersection of Compliance, Data, Product, Engineering, Legal, and Risk to evolve data-driven monitoring capabilities that cover entire populations rather than samples.

The ideal candidate will translate regulations into automated controls, build monitoring routines, and drive improvements in detection,

Qualifications

• Experience operating within a regulated financial-services environment.
• Experience designing, building, or enhancing automated compliance-monitoring programs.
• Experience translating regulatory requirements into automated controls, monitoring routines, or testing logic.
• Demonstrated ability to identify monitoring gaps and implement improvements.
• Strong understanding of compliance, controls, and remediation practices.
• Ability to collaborate across Compliance, Product, Engineering, Legal, and Business stakeholders.
• Hands-on SQL experience sufficient to understand, validate, and support monitoring logic.

Responsabilités

• Evaluate existing monitoring coverage across lending, servicing, and operational processes.
• Identify monitoring gaps and control weaknesses.
• Design and enhance automated compliance-monitoring routines.
• Translate regulatory requirements into control logic and monitoring specifications.
• Improve the effectiveness and efficiency of monitoring programs over time.
• Replace manual reviews and sampling methodologies with scalable monitoring capabilities.
• Design exception-detection logic and automated compliance tests.
• Create monitoring rules capable of identifying population-level defects and anomalies.
• Partner with Data and Engineering teams to implement and maintain monitoring solutions.
• Enhance alerting, escalation, and remediation workflows.
• Work with Product and Engineering teams to implement monitoring controls.
• Define business rules and monitoring requirements.
• Participate in testing, validation, and deployment activities.
• Help prioritize monitoring enhancements and control improvements.
• Partner with technical teams to ensure compliance requirements are reflected within products and systems.
• Partner with Legal and Compliance leadership to interpret applicable regulations.
• Translate regulatory obligations into measurable monitoring controls.
• Ensure monitoring aligns with regulatory expectations and audit requirements.
• Support examinations, audits, and regulatory reviews.
• Drive corrective actions and remediation activity when issues are identified.

Connaissances

SQL

Automation design

Regulatory translation

Cross-functional collaboration

Data-driven monitoring

Outils

Python

Dashboards

Description du poste

Senior Manager, Compliance Monitoring & Automation

Work visa sponsorship is not currently available.

Important: Please Read Before Applying

This is not a traditional Quality Assurance, Compliance Testing, Audit, or Quality Control role.

This position is focused on designing, building, and evolving automated compliance-monitoring controls that evaluate entire populations, rather than conducting sample-based reviews, periodic testing, or manual quality assurance activities.

The ideal candidate has experience:

• Building automated compliance-monitoring routines
• Creating monitoring rules and automated tests
• Using SQL to validate, monitor, or test compliance controls
• Translating regulations into data-driven monitoring requirements
• Monitoring entire populations rather than statistically sampling transactions

Candidates whose experience is primarily centered around the following, may find this role less aligned with their background:

• Compliance testing
• Quality assurance reviews
• Control-testing administration
• Examination management
• RCSA programs
• Governance-only functions

Overview

Our client is a rapidly growing financial technology company that has built a highly automated approach to compliance monitoring, quality control, and risk oversight.

Unlike traditional compliance organizations that rely on periodic reviews and sample testing, this team operates a technology-driven monitoring environment that continuously evaluates lending, servicing, and operational activities across entire populations.

The organization is seeking a Senior Manager to help evolve and scale this capability. This individual will sit at the intersection of Compliance, Data, Product, Engineering, Legal, and Risk, helping design and improve the automated controls used to identify regulatory and operational issues before they impact customers.

This role is ideal for someone who has experience building or enhancing automated compliance-monitoring frameworks, rather than simply reviewing the outputs generated by them.

Why this opportunity is unique

This is not a traditional compliance-testing or quality-control position.

The organization has already invested heavily in automated monitoring capabilities and is looking for someone who can help answer questions such as:

• What aren't we monitoring today that we should be?
• How can we replace sampling with full-population monitoring?
• How can regulations be translated into automated controls?
• How do we detect compliance issues early?
• How do we continuously improve monitoring effectiveness?

The successful candidate will directly influence how compliance controls are designed, monitored, measured, and improved across a rapidly growing financial-services platform.

What you'll be responsible for

Compliance Monitoring & Automation

• Evaluate existing monitoring coverage across lending, servicing, and operational processes
• Identify monitoring gaps and control weaknesses
• Design and enhance automated compliance-monitoring routines
• Translate regulatory requirements into control logic and monitoring specifications
• Improve the effectiveness and efficiency of monitoring programs over time

Automated Controls & Testing

• Replace manual reviews and sampling methodologies with scalable monitoring capabilities
• Design exception-detection logic and automated compliance tests
• Create monitoring rules capable of identifying population-level defects and anomalies
• Partner with Data and Engineering teams to implement and maintain monitoring solutions
• Enhance alerting, escalation, and remediation workflows
• Work directly with Product and Engineering teams to implement monitoring controls
• Define business rules and monitoring requirements
• Participate in testing, validation, and deployment activities
• Help prioritize monitoring enhancements and control improvements
• Partner with technical teams to ensure compliance requirements are reflected within products and systems

Regulatory & Compliance Oversight

• Partner with Legal and Compliance leadership to interpret applicable regulations
• Help translate regulatory obligations into measurable monitoring controls
• Ensure monitoring aligns with applicable regulatory expectations and audit requirements
• Support examinations, audits, and regulatory reviews
• Drive corrective actions and remediation activity when issues are identified

What we're looking for

Required

• Experience operating within a regulated financial-services environment
• Experience designing, building, or materially enhancing automated compliance-monitoring programs
• Experience translating regulatory requirements into automated controls, monitoring routines, or testing logic
• Demonstrated experience identifying monitoring gaps and implementing improvements
• Strong understanding of compliance, controls, and remediation practices
• Ability to work across Compliance, Product, Engineering, Legal, and Business stakeholders
• Hands-on SQL experience sufficient to understand, validate, and support monitoring logic

Strongly Preferred

• Experience with full-population monitoring rather than sample-based testing programs
• Experience building automated exception-detection or compliance-testing routines
• Knowledge of regulations such as:
• UDAAP
• FCRA
• Experience working directly with Product and Engineering teams to implement controls
• Exposure to Python, analytics platforms, dashboards, or monitoring technologies

Compensation

Salary of $155,000 - $190,000 + equity + medical benefits + 401k

*For candidates demonstrating exceptional alignment with the role's compliance-monitoring automation requirements, compensation may be evaluated based on overall experience and fit.

Equal Opportunity Employer

Prime Team Partners and our client are equal opportunity employers committed to building diverse and inclusive workplaces. We consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic in accordance with applicable federal, state, and local laws. We encourage candidates from all backgrounds and experiences to apply.