Senior Compliance Manager, Advisory

The Senior Advisory Compliance Manager is responsible for performing compliance advisory duties as assigned in support of the Bank’s Compliance Management Program to meet the ongoing objectives of Stride Bank and to ensure all banking rules, regulations, and statutory requirements are met.

PRINCIPAL DUTIES AND RESPONSIBILITIES

1. Leads a team of compliance professionals to provide clear guidance to Bank personnel, and/or fintech partners on becoming and remaining compliant.
2. Maintains effective working knowledge of applicable federal and state laws, regulations, and regulatory guidance through ongoing research, training, and participation in industry forums.
3. Provides clear actionable guidance to Bank, and/or fintech personnel on becoming and remaining compliant.
4. Provides cross-functional support for other functions.
5. Develops and enhances oversight reporting to help ensure the success of the Bank and fintech programs.
6. Supports the development and implementation of new and modified Bank products, services, and partner programs, ensuring compliance considerations are incorporated from the outset and throughout the lifecycle.
7. Develops collaborative, cross-functional action plans; works closely with management and business partners to interpret complex regulations, develop compliance strategies, and implement efficient compliance programs.
8. Assesses the impact of business process changes to the regulatory risk profile and the effectiveness of the control environment and expected forward-looking trend to maintain compliance.
9. Assesses changes to regulatory requirements and provides guidance to impacted business partners to ensure effective implementation.
10. Reviews internal and client-facing documents to ensure compliance with applicable laws and regulations.
11. Contributes to the maintenance and enhancements of compliance policies, program standards, procedures, guidelines, training documents, and other associated forms/documents.
12. Monitors and investigates compliance-related issues, incidents, and complaints involving Bank sponsored partnerships; performs accurate root cause analysis; collaborates with cross-functional stakeholders to address issues efficiently and effectively.
13. Accountable for compliance team execution and ensures documentation is maintained appropriately.
14. Communicates risks across multiple business functions and partner programs and initiates escalations as needed.
15. Leads special projects and initiatives as assigned.
16. Performs other duties as assigned.

EDUCATION AND/OR EXPERIENCE

• Bachelor’s degree, or equivalent work experience, required.
• 10 years’ experience in compliance, risk management, or regulatory oversight, preferably in fintech or financial services.
• CRCM certification, preferred.

KNOWLEDGE, SKILLS, AND ABILITIES

• Ability to work in a fast paced and rapidly evolving market.
• Strong analytical and conceptual thinking skills, with the ability to solve problems and make decisions using data.
• Knowledge of existing and emerging bank regulations, audit processes, and compliance reporting.
• Excellent communication and project management skills.
• Ability to work independently and collaboratively across functions.
• Ability to manage multiple projects and prioritize effectively.