813.666.4504

Chief Compliance Officer

Denver or Remote, CO

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Title: Chief Compliance Officer

Location: Denver, CO or Remote

Overview:

Our Client, A small stable and growing FinTech start-up, is seeking a Chief Compliance Officer to lead and grow the Global Compliance team and serve as a strategic leader to the company.  They enable payroll service providers, FinTechs, banks, insurance companies and other financial services businesses in North America, Europe and Asia to deploy innovative payment solutions.  Their clients benefit from purpose-built technology offering secure and flexible APIs as well as easy access to an expert team committed to delivering responsive customer service. 

Responsibilities:

  • Develop, maintain, and revise policies, procedures and risk assessments of Client activities to prevent illegal, unethical, or improper conduct
  • Operationalize regulatory requirements ensuing that compliance policies, internal controls, and systems are functioning effectively and efficiently
  • Oversee them management of all compliance issues, including regulatory compliance, consumer compliance, transaction monitoring, quality control, continuing education/tracking and data privacy and training
  • Implement compliance program regarding OFAC/BSA/USA PATRIOT Act obligations and global payment processing/card issuing requirements in the US and abroad
  • Monitor, govern, and oversee regulatory reporting activities related to the payment processing functions
  • Run point for all regulatory inquiries, including state, federal, and international. Must have a deep understanding of the regulatory landscape and requirements for FinCEN, SEC, OCC, CFTC, FCA
  • Collaborate closely with cross-functional stakeholders, including but not limited to, Legal, Finance, Internal Audit, Marketing, Product Development and Operations
  • Be a dedicated resource to our business and product, with a focus on driving regulatory compliance strategy, engagement and culture
  • Remain current with evolving trends of establishing identity in a digital environment
  • Analyze high risk counterparties and assess reputational risks
  • Lead risk assessments and implement compliance monitoring and testing programs
  • Prepare and present regulatory reports, annual compliance testing and remediation reports to the Board of Directors
  • Manage the engagement of Third-party firms performing any policies and procedural reviews and audits including sponsor bank relationships
  • Evaluate risk-mitigation vendor capabilities including establishing vendor solution performance objective
  • Develop and lead employee training sessions on internal compliance policies and regulatory compliance issues. Conduct enterprise-wide monitoring and testing programs covering identified compliance risks

Requirements:

  • 8+ years of comprehensive regulatory compliance experience in the Payments/FinTech industry
  • Strong knowledge of retail payments (including credit/debit cards, international remittances and mobile payments), data privacy (GDPR), and financial services consumer protection and fraud regulations (Federal and state), PCI_DSS, SOX, etc…
  • Passionate about payments regulation on a global scale
  • Experience developing and implementing global AML/KYC/KYB?SOX, Fraud, and payments compliance programs
  • Minimum 2+ years management experience
  • Experience working in a nimble, start-up environment )preferably FinTech)
  • Bachelors degree in a related discipline