Director, Compliance Testing

Lending Club-posted 4 months ago

$150,000 - $225,000/Yr

Full-time • Senior

Hybrid • Lehi, UT

1,001-5,000 employees

Credit Intermediation and Related Activities

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LendingClub's Compliance Department is seeking a talented and experienced individual for the position of Director, Compliance Testing (2nd Line of Defense). This position is responsible to lead and maintain the Compliance Testing Program to independently review and validate the company's compliance with applicable federal and state laws, regulations and adherence to internal policies and procedures.

Develop an annual Compliance Test Plan that encompasses multiple inputs, such as the Compliance Risk Assessment results and risk inputs from key first and second line business partners
Lead the Testing Team to execute the Compliance Test Plan and to conduct other targeted reviews (as needed)
Oversee all testing processes and procedures across all phases of the Compliance Testing review
Ensure compliance issues identified through compliance testing are recorded, tracked, and reported to ensure their appropriate and timely resolution
Prepare, deliver, and effectively communicate analysis and reporting regarding testing to oversight committees and senior leadership
Liaise with examiners and auditors on reviews of the company's efforts, including testing, to comply with regulatory requirements related to lending operations
Collaborate with Compliance advisory teams in developing ongoing compliance risk monitoring
Participate in Enterprise Risk and other risk governance forums to provide insight on the control environment and the identification of risks
Partner with the Compliance Program Office to ensure the results of testing, including any issues identified, are incorporated into the company's risk governance and reporting processes
Move across functional lines within the Compliance Department to assist team members with other compliance governance-related responsibilities, such as third-party compliance oversight, issues management and risk assessments

10+ years of banking or financial services experience, primarily in compliance, risk management and/or audit functions
Bachelor's degree or higher in a related field; or equivalent work experience
5+ years of direct experience performing compliance testing or audit
Strong working knowledge of consumer protection laws and regulations and associated risks, and the internal controls needed to mitigate those risks. Knowledge of Financial Crimes Compliance regulations
Experience managing or supervising others
Strong written and verbal communication skills
Demonstrated ability to influence decisions and drive change
Self-starter with ability to think independently, take ownership, and drive initiatives to resolution
Solid analytical, problem solving, and critical thinking skills
Ability to handle multiple priorities and rapid changes

Professional certifications(s) such as Certified Regulatory Compliance Manager (CRCM) or Certified Internal Auditor (CIA)

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
Long-term awards (equity) and an annual bonus based on company performance, employee performance and eligible earnings

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