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United States
Remote only
This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Compliance Associate, Issues Management based in the United States.
The Senior Compliance Associate will play an important role in strengthening compliance oversight and ensuring effective management of regulatory and risk-related issues. Working within the second line of defense, this role supports the full issue management lifecycle, from initial identification and documentation through remediation validation and closure. You will assess corrective action plans, monitor progress, and help ensure that remediation efforts are timely, thorough, and sustainable. By analyzing issue trends and root causes, you will provide insights that support risk-based decision-making and continuous improvement. The position involves close collaboration with teams across Compliance, Risk, Engineering, Operations, and Legal. This is a remote opportunity within a digital-first environment, with periodic in-person team gatherings.
Execute second-line compliance issue management activities, including issue intake, documentation, tracking, remediation monitoring, validation, and closure.
Review and challenge remediation plans, milestones, and supporting evidence to ensure corrective actions adequately address identified issues and meet established requirements.
Maintain accurate issue inventories, monitor remediation progress and aging, and identify delays or higher-risk issues requiring escalation.
Support independent validation and closure by evaluating remediation evidence, documenting findings, and confirming that closure requirements have been satisfied.
Analyze issue trends, recurring themes, and root causes to develop reporting and insights that inform compliance oversight and risk prioritization.
Collaborate with Engineering, Operations, Legal, Compliance, and other stakeholders to improve remediation quality, strengthen issue management procedures, and support regulatory readiness.
Bachelor's degree or equivalent practical experience.
At least 3 years of experience in compliance, issue management, audit, or risk management within banking or financial services.
Experience supporting the lifecycle of compliance, risk, audit, or regulatory issues, including issue tracking and remediation monitoring.
Proven ability to review remediation plans, corrective action milestones, supporting documentation, and closure evidence.
Experience maintaining issue records or inventories in a regulated risk or compliance environment.
Knowledge of second-line compliance oversight, issue management frameworks, and remediation validation practices within financial services is preferred.
Familiarity with governance, risk, and compliance (GRC) platforms or issue management systems is an advantage.
Strong analytical skills, including the ability to assess issue aging, remediation progress, and recurring root causes to identify emerging risks and support reporting.
Ability to collaborate effectively across Compliance, Risk, Audit, Legal, and business teams to resolve remediation challenges.
Relevant professional certifications, such as Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or an equivalent qualification, are preferred.
Salary: Anticipated annual base salary of $91,500–$126,400, depending on geographic location, skills, experience, and education.
Target bonus opportunities and annual equity grants.
Company-matched retirement plan, with a $2 match for every $1 contributed, up to $15,000 annually.
Employee Stock Purchase Plan with discounted stock purchase options for eligible US employees.
Comprehensive medical, dental, and vision coverage, plus wellness resources.
Health Savings Account contributions for eligible plans.
Life insurance and disability coverage.
Paid time off, sick leave, and company holidays.
Paid family and parental leave, along with fertility, parenthood, and caregiving support.
Employee Assistance Program offering mental health support and personal resources.
Financial wellness resources, including financial planning tools and a financial concierge service.
Annual wellness allowance supporting physical and emotional well-being and personal development.
Annual productivity allowance for tools and resources needed to work effectively.
Remote work flexibility across the United States, with opportunities to connect in person through team gatherings, generally once or twice per quarter for 2–4 consecutive days.
Opportunities to build connections through team events, company-wide updates, and employee resource groups.
Office perks, including catered lunches and stocked kitchens at company locations.