Compliance Manager

Job description: Role Overview Specialty Capital is seeking a Compliance & BSA Analyst/Manager to support the build, implementation, and ongoing operation of our Compliance Management System (CMS) as we partner with a regulated bank sponsor. This role plays a critical part in ensuring regulatory readiness, supporting bank examinations and audits, and maintaining strong controls across lending, servicing, marketing, and third-party relationships. This is a hands-on, execution-focused role, ideal for a candidate with foundational experience in bank or fintech compliance and BSA/AML, who understands regulatory expectations and thrives in a fast-growing environment. Key Responsibilities Compliance Management System (CMS) Support the day-to-day operation of Specialty Capital's Compliance Management System (CMS). Maintain and update compliance policies, procedures, risk assessments, and applicability matrices. Assist with preparation of materials for bank partner due diligence, audits, and ongoing monitoring. Regulatory Compliance Support compliance oversight across applicable laws and regulations, including: ECOA / Regulation

B FCRA / FACTA TILA

/ Regulation

Z UDAAP / UDAP CAN-SPAM, TCPA / TSR E-SIGN, ADA SCRA

Applicable state lending and disclosure requirements Track regulatory changes and assist in assessing applicability and operational impact. Support execution of compliance monitoring and testing plans, including documentation of results and remediation tracking.

BSA / AML / OFAC

Support Support the execution of Specialty Capital's

BSA/AML/CFT

program, including: Customer Identification Program (CIP) Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) Beneficial ownership documentation OFAC screening support Assist in maintaining BSA/AML policies, procedures, and risk assessments. Support SAR-related documentation and escalation processes (as applicable). Maintain BSA training records and assist with employee training coordination. Support bank partner and auditor requests related to BSA/AML controls. Applicant & Customer-Facing Disclosures Assist with review, maintenance, and version control of: Loan agreements and promissory notes Adverse Action Notices Privacy Notices Applicant and guarantor disclosures Help validate the accuracy and consistency of disclosures generated by internal systems and third-party vendors. Complaints & Issues Management Support the complaint management program, including logging, tracking, and trend analysis. Assist with issues management, ensuring corrective actions are documented, tracked, and completed. Help incorporate prior audit findings and regulatory feedback into ongoing monitoring activities. Third-Party Risk & Vendor Oversight Support compliance aspects of third-party risk management, including: Vendor due diligence and onboarding documentation Review of SOC reports, certifications, and compliance artifacts Tracking ongoing monitoring requirements Coordinate with Operations, Legal, and IT on vendor compliance obligations. Training & Reporting Assist in coordinating compliance and BSA/AML training for employees and contractors. Maintain training schedules, logs, and completion records. Prepare compliance summaries and reporting for internal leadership and bank partners. Qualifications Required 1+ year of experience in compliance, BSA/AML, risk, audit, or regulatory support within: Banking, Fintech, Consumer or small-business lending Working knowledge of core U.S. financial-services regulations and BSA/AML fundamentals. Hands-on experience supporting or contributing to a Compliance Management System (CMS) (e.g., policy management, monitoring/testing, issue tracking, audits, or exam support) Strong organizational skills and attention to detail. Ability to work cross-functionally with Operations, Credit, Product, and Technology teams. U.S

• based and authorized to work in the United States.

Preferred Experience supporting bank sponsor relationships or regulatory examinations. Exposure to Compliance Management Systems (CMS). Familiarity with complaint management, monitoring/testing, or audit support. Bachelor's degree in Business, Finance, Risk, Compliance, or related field.

Job Type:

Full-time Benefits :

Paid time off

Work Location:

In person

Pay:

$95,000.00

• $110,000.

00 per year

Benefits:

Paid time off Application Question(s): Do you have working knowledge of core U.S. financial-services regulations and BSA/AML and CMS fundamentals? We're looking for someone with solid full-time experience. Please state if your past experience are independent contractor roles. (We do a background check to confirm).

Experience:

BSA,AML and CMS:

1 year (Required) Ability to

Commute:

Great Neck, NY 11021 (Required)

Work Location:

In person Compliance Manager Great Neck, NY 11021 $95,000

• $110,000 a year
• Full-time $95,000
• $110,000 a year
• Full-time Job description: Role Overview Specialty Capital is seeking a Compliance & BSA Analyst/Manager to support the build, implementation, and ongoing operation of our Compliance Management System (CMS) as we partner with a regulated bank sponsor.

This role plays a critical part in ensuring regulatory readiness, supporting bank examinations and audits, and maintaining strong controls across lending, servicing, marketing, and third-party relationships. This is a hands-on, execution-focused role, ideal for a candidate with foundational experience in bank or fintech compliance and BSA/AML, who understands regulatory expectations and thrives in a fast-growing environment. Key Responsibilities Compliance Management System (CMS) Support the day-to-day operation of Specialty Capital's Compliance Management System (CMS). Maintain and update compliance policies, procedures, risk assessments, and applicability matrices. Assist with preparation of materials for bank partner due diligence, audits, and ongoing monitoring. Regulatory Compliance Support compliance oversight across applicable laws and regulations, including: ECOA / Regulation

B FCRA / FACTA TILA

/ Regulation

Z UDAAP / UDAP CAN-SPAM, TCPA / TSR E-SIGN, ADA SCRA

Applicable state lending and disclosure requirements Track regulatory changes and assist in assessing applicability and operational impact. Support execution of compliance monitoring and testing plans, including documentation of results and remediation tracking.

BSA / AML / OFAC

Support Support the execution of Specialty Capital's

BSA/AML/CFT

program, including: Customer Identification Program (CIP) Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) Beneficial ownership documentation OFAC screening support Assist in maintaining BSA/AML policies, procedures, and risk assessments. Support SAR-related documentation and escalation processes (as applicable). Maintain BSA training records and assist with employee training coordination. Support bank partner and auditor requests related to BSA/AML controls. Applicant & Customer-Facing Disclosures Assist with review, maintenance, and version control of: Loan agreements and promissory notes Adverse Action Notices Privacy Notices Applicant and guarantor disclosures Help validate the accuracy and consistency of disclosures generated by internal systems and third-party vendors. Complaints & Issues Management Support the complaint management program, including logging, tracking, and trend analysis. Assist with issues management, ensuring corrective actions are documented, tracked, and completed. Help incorporate prior audit findings and regulatory feedback into ongoing monitoring activities. Third-Party Risk & Vendor Oversight Support compliance aspects of third-party risk management, including: Vendor due diligence and onboarding documentation Review of SOC reports, certifications, and compliance artifacts Tracking ongoing monitoring requirements Coordinate with Operations, Legal, and IT on vendor compliance obligations. Training & Reporting Assist in coordinating compliance and BSA/AML training for employees and contractors. Maintain training schedules, logs, and completion records. Prepare compliance summaries and reporting for internal leadership and bank partners. Qualifications Required 1+ year of experience in compliance, BSA/AML, risk, audit, or regulatory support within: Banking, Fintech, Consumer or small-business lending Working knowledge of core U.S. financial-services regulations and BSA/AML fundamentals. Hands-on experience supporting or contributing to a Compliance Management System (CMS) (e.g., policy management, monitoring/testing, issue tracking, audits, or exam support) Strong organizational skills and attention to detail. Ability to work cross-functionally with Operations, Credit, Product, and Technology teams. U.S

• based and authorized to work in the United States.

Preferred Experience supporting bank sponsor relationships or regulatory examinations. Exposure to Compliance Management Systems (CMS). Familiarity with complaint management, monitoring/testing, or audit support. Bachelor's degree in Business, Finance, Risk, Compliance, or related field.

Job Type:

Full-time Benefits :

Paid time off

Work Location:

In person

Pay:

$95,000.00

• $110,000.

00 per year

Benefits:

Paid time off Application Question(s): Do you have working knowledge of core U.S. financial-services regulations and BSA/AML and CMS fundamentals? We're looking for someone with solid full-time experience. Please state if your past experience are independent contractor roles. (We do a background check to confirm).

Experience:

BSA,AML and CMS:

1 year (Required) Ability to

Commute:

Great Neck, NY 11021 (Required)

Work Location:

In person