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Compliance Response Specialist I Duties:
The Compliance Response Specialist I is responsible for assisting in the administration, coordination, and execution of the Company's compliance response processes. This role will work timely and cross-functionally with multiple business units to administer processes related to complaints, issue management and remediation, regulatory examinations, outsourced internal audit, and other compliance response domains.
Pay Range
USD $60,000.00 - USD $70,000.00 /Yr.
Essential Duties and Responsibilities include the following. Other duties may be assigned.
Facilitate and support individual compliance response workflows end-to-end, from initial intake and stakeholder engagement to investigation through closure, maintaining timely, accurate outcomes in coordination with the Compliance Response Manager.
Assist in the preparation and delivery of responses to examination requests, audit inquiries, consumer complaints, and internal business unit escalations, synthesizing cross-functional input into cohesive deliverables.
Support issue management and remediation activities related to compliance initiatives proactively tracking corrective actions, validating closure evidence, and confirming remediation commitments are met within established timelines.
Act as an additional point of contact for business partners, regulators, and third parties, driving follow-ups, clarifying expectations, and maintaining accountability across teams.
Conduct root cause analysis to strengthen and enhance the Company's compliance controls and framework to prevent potential compliance issues.
Assist in the management and maintenance of compliance response reporting by contributing meaningful metrics and trend analyses.
Build and maintain strong working relationships with business partners to promote a culture of proactive compliance awareness and responsiveness across the organization, supporting business partners in understanding regulatory expectations.
Stay current on industry best practices, regulations, and changes in applicable laws and contribute to process improvements, updating procedures, and creating efficiencies.
Other duties as assigned by management. Must be able to come to work promptly and regularly. Must be able to take direction and work well with others. Must be able to work under the stress of deadlines. Must be able to concentrate and perform accurately. Must be able to react to change productively.
Minimum Qualifications:
Bachelor’s degree or equivalent.
Two years related experience in compliance, risk management, regulatory affairs, or a related function within financial services.
Experience interacting with regulatory agencies, responding to legal process, and managing remediation activities is preferred.
To perform this job successfully, an individual should have knowledge of Microsoft Office suite and any applicable role specific development or design software.
About Foundation Finance:
Foundation Finance Company (FFC), a Great Place to Work® certified company since 2017, is a fast-growing consumer finance company working with home improvement contractors across the U.S. to drive sales through flexible, customer-focused financing options.
Available Benefits:
Day-one Health Benefits (medical, dental, vision, and flexible spending options like HSA or FSA accounts).
401(k) with company match enrollment on day-one.
Paid, Sick and Volunteer Time Off
Paid Parental Leave Options
Employer Paid Life and Disability
Wellbeing on Demand Program
Flexible Work Environment with a casual dress code
Employment status (full-time or part-time) may affect eligibility for certain benefits. Some benefits become available only after a specified period of employment. Please refer to our Benefits page for details.
Office environment with significant time spent sitting, typing and talking on the telephone.
Foundation Finance Company provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.
If you reside in the state of Colorado, please click on the following link to review our benefits: Foundation Finance Benefits
These benefits are designed to support our employees in their professional growth, health, and overall well-being. Eligibility, coverage details, and enrollment processes will be provided during the onboarding process. At Foundation Finance Company, we are committed to fostering a positive work environment where employees can thrive both personally and professionally.
Remote Work Disclaimer
Foundation Finance Company LLC requires that remote employees must reside in one of the following states to be considered for any of our remote positions: AL, AR, AZ, CO, FL, GA, IL, IN, KY, LA, MD, MI, MN, MO, MS, NC, NJ, NV, NY, OH, OK, OR, SC, TN, TX, UT, VA, WA, and WI.