Compliance Testing Manager
About The Position
Happen Bank's Enterprise Compliance Organization (ECO) is responsible for maintaining an effective enterprise-wide compliance program across BSA/AML, sanctions, Financial Crimes Compliance (FCC), and regulatory compliance. As a Compliance Testing Manager, you'll independently lead compliance testing reviews to assess adherence to applicable consumer financial laws and regulations and internal policies and procedures. You'll also help advance data-driven testing capabilities, identify opportunities to strengthen the Bank's system of controls, and partner across the organization to support effective compliance risk management.
Requirements
- 4+ years of experience in banking or financial services, including direct experience in compliance testing, internal audit, or a related compliance function
- Bachelor's degree or higher, or equivalent combination of education and experience
- Practical knowledge of consumer protection laws and regulations, associated compliance risks, and the controls used to mitigate those risks
- Experience performing compliance testing across applicable banking or financial services regulations such as ECOA, UDAAP, TILA, TISA, FCRA, EFTA, EFAA, and SCRA
- Strong written and verbal communication skills with the ability to clearly communicate testing results, risks, and recommendations and influence stakeholders
- Strong analytical, problem-solving, and critical-thinking skills with the ability to independently assess risks and reach well-supported conclusions
- Experience using SQL to query and analyze data
- You take ownership of assigned reviews, manage competing priorities effectively, and adapt to changing regulatory and business needs
- You actively look for ways AI can improve compliance research, testing, analysis, and documentation while applying sound judgment around regulatory accuracy, confidentiality, data sensitivity, and when independent human validation is required
Nice To Haves
- Familiarity with Tableau or other data visualization tools is a plus
Responsibilities
- Independently design, lead, and execute compliance testing reviews to assess control design and operating effectiveness across consumer compliance risks
- Identify control gaps and opportunities to strengthen the control environment, recommending practical enhancements that help the business manage compliance risk in alignment with regulatory expectations
- Support the development and use of data analytics and monitoring capabilities to test system- and data-driven processes more effectively
- Prepare clear, well-supported testing reports and workpapers that communicate findings, issues, recommendations, and testing results to business partners and senior leadership
- Document, track, and monitor compliance issues through timely resolution, partnering with stakeholders to ensure appropriate remediation
- Build strong partnerships with the business and Compliance Advisory, sharing key risks, trends, and testing outcomes to support informed decision-making
- Support the assessment and documentation of business processes, risks, and controls, coordinating testing activities and reviewing work performed by other testers as needed
- Contribute to ECO initiatives, internal and external audits, regulatory examinations, and strategic projects as needed
Benefits
- medical, dental and vision plans for employees and their families
- 401(k) match
- health and wellness programs
- flexible time off policies for salaried employees
- up to 16 weeks paid parental leave
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
