Compliance Lead 2, Regulatory Compliance
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Job Description
Compliance Lead overseeing adherence to banking regulations and managing compliance programs at N3XT, a financial services startup bridging traditional markets and blockchain.
Responsibilities:
- Manage components of the Compliance Management System (CMS) and collaborate with departments to ensure compliance across all business lines.
- Conduct compliance risk assessments and oversee internal audits to identify and mitigate potential regulatory risks.
- Work cross functionally with various internal functions to integrate compliance controls into daily operations.
- Support new and existing product development by advising teams on compliance, risk and control strategies, new product development, and process improvements.
- Oversee compliance policy governance, ensuring standards are implemented consistently across all departments.
- Manage the complaint handling process, including working cross functionally to ensure resolutions are accurate, timely, and in compliance with applicable regulatory requirements.
- Maintain administrative oversight of the compliance training issued via the company’s learning management system.
- Track and maintain internal and external compliance reporting obligations, including reporting to bank partners, regulator reporting and other administrative functions to meet obligations.
- Coordinate and lead organizational responses to high-stakes regulatory examinations, third-party audits, and bank partner reviews, ensuring timely collection of data and closure of remediation activities.
- Support and oversee the issue management process.
- Maintain and effectively execute the marketing compliance program.
- Monitor, interpret, document and communicate emerging regulatory updates from FinCEN, OFAC, Wyoming Division of Banking etc, collaborating with general counsel to adjust internal policies to changing obligations.
Requirements:
- Bachelor’s degree in Finance, Business, Risk Management, or a related field.
- Proven experience (5+ years) in regulatory compliance, risk management, or a related role in the banking and financial services industry.
- In-depth knowledge of banking laws, regulatory frameworks, and compliance best practices.
- Strong ability to analyze regulatory updates and translate them into actionable policies.
- Hands-on experience with LLMs and AI Agents for process automation.
- Attention to detail and strong analytical skills to detect potential risks.
- Excellent communication skills to collaborate with internal teams and regulators.
- Ability to work in a fast-paced environment and adapt to regulatory changes.
Benefits:
- Competitive salary
- Professional development support
- Flexible work arrangements
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