Compliance Assistant

The Regent Bank Compliance Assistant will have a strong understanding of financial regulations, emphasizing FinTech and commercial banking.

This position will work closely with Regent Bank’s FinTech partners and the Compliance Officer to ensure all banking regulations are followed.

• Assist in the development and implementation of compliance policies and procedures tailored to the unique needs of our FinTech products and banking operations.
• Maintain the CRA Community Development Lending, Investments, and Services log.
• Assist with marketing reviews to ensure compliance with applicable regulatory disclosure requirements.
• Monthly fair lending underwriting and pricing reviews on consumer loan files.
• Assist with internal audits by providing documentation and supporting follow-up on findings.
• Assist in the preparation of regulatory filings and responses to inquiries from regulatory authorities.
• Collaborate with cross-functional teams, including FinTech, Deposit Operations, and internal audit, to ensure compliance considerations are integrated into business processes.
• Assist with compliance training when needed.
• Stay informed about industry best practices and emerging trends in FinTech and banking compliance.
• Conduct regulatory research and stay updated on changes in financial regulations, including those impacting FinTech and banking sectors.
• Conduct reviews of loan underwriting from a fair lending persepective.
• Other duties as assigned.

• Bachelor’s degree in finance, business administration, legal studies, or related field preferred.
• Minimum of two (2) years of experience in compliance roles within the banking or FinTech industry.
• Prior experience working with bank compliance and risk is a strong plus.