Compliance Manager, Testing & Assurance
RockWallet · Remote, with a preference for US-based applicants in the Eastern Time Zone ·
- Work mode
- Remote
- Category
- Legal
- Experience
- 3+ years
You will lead Compliance Operations and the annual self-testing plan, establish testing methodologies and governance, use AI and data analytics to improve sampling and anomaly detection, document results and issues, track remediation, report compliance KPIs, support audits, and provide regulatory guidance across business lines.
Responsibilities
- Serve as operational lead and second-in-command for Compliance Operations
- Guide Compliance team members and provide technical compliance expertise to business partners
- Build, review, revise, and execute the annual self-testing plan
- Set governance over testing methodologies, standards, sample sizing, documentation, and reporting
- Drive AI and automation opportunities across the self-testing program
- Use SQL, Python, and BI tools for sampling, trend analysis, and anomaly detection
- Document testing steps, results, and issues in workpapers and an observation log
- Track remediation plans through completion
- Report self-testing KPIs to Compliance management
- Partner with internal and external stakeholders to drive compliant solutions and respond to audit requests
- Communicate legal and regulatory requirements across business lines and provide compliance guidance
Requirements
- Associate's degree in business or a related field, or equivalent experience
- 3-5 years of experience in compliance, self-testing, or risk assurance, including management responsibility
- CAMS or equivalent certification preferred
- Knowledge of BSA/AML requirements for MSBs and VASPs, including the PATRIOT Act, EDD, PEP, and OFAC screening
- Familiarity with consumer protection regulations
- Experience with automated transaction monitoring systems and compliance operations platforms
- Experience drafting and editing BSA/AML procedures and workflows
- Analytical, leadership, and written and verbal communication skills
- Ability to manage competing priorities in a fast-moving regulatory environment
- Ability to work independently
Benefits
- Work from home
- Work-life balance