Compliance Response Specialist I

Foundation Finance Company, LLC • Rothschild, WI

8d • Hybrid

About The Position

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.

Requirements

• Bachelor’s degree or equivalent.
• Two years related experience in compliance, risk management, regulatory affairs, or a related function within financial services.
• Knowledge of Microsoft Office suite and any applicable role specific development or design software.

Nice To Haves

• Experience interacting with regulatory agencies, responding to legal process, and managing remediation activities is preferred.

Responsibilities

• 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.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level