Licensing & Exam Compliance Manager (Leading FinTech)

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Our client, the world's leading FinTech, is looking for an experience Licensing & Exam Manager to join their growing team.

Job Description & Synthesis
The Compliance Manager will support all brokering and lending licenses as well as the regulatory examinations related to such offerings. This role will report to the Head of Licensing and Exam Management on the Compliance team. We are looking for a proactive Compliance member to provide strong support for the licensing and examination program. The ideal candidate should have experience in managing Company and Individual licenses, including compiling applications, submitting renewals, and interacting with agencies and examiners.
Our client's products must continuously delight our customers, conform to their policy and practices, and meet the regulatory requirements imposed upon licensed activities by state and federal agencies. If you are passionate about innovation, solving tough customer challenges, and compliance as a strategic advantage, then come join their team!
Specific Responsibilities
  • Licensing – file licensing documents such as annual reporting, renewals, and applications
  • Solve actions items in NMLS related to brokering and lending licenses
  • Coordinate with internal teams to provide required documentation for license renewals and reporting
  • Facilitate payment of necessary licensing fees
  • Organize and manage licensing documentation
  • Interact with regulators, including asking and answering regulatory inquiries
  • Manage state entity filings, including those relating to DBAs
  • Manage Director/Officer changes, including fingerprinting, attestations, and so on
  • Monitor lending and brokering regulation landscape for changes relating to licenses
  • Exam Management – manage regulatory examinations of brokering and lending licenses
  • Lead examinations, including preparation and delivery of responses
  • Compile requested documentation from internal stakeholders
  • Review documents prior to delivery to regulators to ensure proper formatting and content
  • Organize and manage examination documentation
  • Update internal examination reporting
  • Work cross-functionally across compliance and the business to drive change based on state examination findings and recommendations
Key Qualifications
  • Bachelor’s Degree or equivalent experience preferred with 3-5 years’ professional experience
  • 2+ years’ experience in licensing and/or an in-house legal or compliance department preferred
  • 2+ years’ experience with the Company-level licensing in NMLS preferred
  • Experience with regulatory state examinations
  • Proven experience working with cross-functional teams
  • Excellent communication, interpersonal and writing skills
  • Strong organizational skills and attention to detail