Compliance Testing & Monitoring Lead US FinTech

Job Category: Financial Technology (FinTech)

The Compliance Testing & Monitoring Lead builds and runs the compliance assurance program, providing independent monitoring and testing across AML/BSA, consumer compliance (UDAAP), and policy adherence. This role validates control effectiveness and drives evidence-based remediation.

Key Responsibilities

• Design and execute a risk-based compliance monitoring and testing plan across key regulatory obligations and controls.
  
• Perform control testing, thematic reviews, and quality assurance of compliance processes (including AML investigations and SAR governance where applicable).
  
• Document testing results, identify root causes, and partner with control owners to agree remediation actions and timelines.
  
• Maintain a central issues register and track remediation to closure with supporting evidence.
  
• Support internal/external audits and regulatory exams with well-organised workpapers and documentation.
  
• Develop compliance metrics and reporting for leadership and governance committees.
  

Required Experience

• 5–10 years in compliance testing/monitoring, internal audit, or compliance assurance within financial services or FinTech.
  
• Strong understanding of AML/BSA and/or consumer compliance requirements and control testing methodologies.
  
• Excellent documentation, analytical, and stakeholder management skills.
  

Preferred Background

• Experience building testing programs in a scaling environment; familiarity with GRC tooling.
  
• Professional certifications (e.g., CAMS, CRCM, CIA) are beneficial.
  

Compensation Guidance

Typical US compensation: $140,000 – $190,000 base, plus bonus/equity depending on stage.

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