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Compliance Associate

New York, NY

This position reports to the Associate General Counsel/Compliance Officer and is part of the Legal and Compliance Department where initiative, enthusiasm, and collaboration are critical.  Our primary focus is on helping protect the company against undue risk exposure. The Compliance Associate will manage strategic compliance relationships and support general compliance matters. 

A Day in the Life of a Compliance Associate 

  • Coordinate with GC/CCO and AGC/CO to execute compliance management system
  • Manage compliance-driven relationships with financial institutions and regulated strategic partners
  • Coordinate responses to audits, and ongoing monitoring activities from financial institutions
  • Conduct compliance testing & monitoring, including matters involving BSA/AML, ECOA/Fair Lending, UDAAP, and CAN-SPAM/TCPA
  • Prepare materials for and attend committee meetings with board and senior management
  • Facilitate issue, complaint, and exception log processes
  • Promote company policy initiatives, including advocacy, training, and reporting
  • Update company policies and procedures
  • Assist AGC/CO in compliance assessments and control implementation
  • Support GC/CCO and AGC/CO in company-level initiations and special projects

 What You Have 

  • Bachelor’s degree with a minimum of 3 to 7 years of experience as a Compliance Associate or Analyst
  • Prior position in-house at a bank or regulated lender
  • Experience in BSA/AML, ECOA/Fair Lending, and/or UDAAP a plus
  • Propensity to learn quickly, analyze risks, and propose practical solutions 
  • Superior communication and organization skills
  • Comfort with evolving priorities in a dynamic environment
  • Ability to relate well to peers and build effective business partnerships

About Fora Financial

Fora Financial is a technology enabled, leading provider of flexible financing to small and medium sized businesses. Since our inception in 2008, we have supported more than 55,000 merchants nationwide with over $4 billion of capital used for a variety of purposes, from funding everyday operating expenses to managing cash flow gaps to facilitating business expansion, and much more. Leveraging our proprietary technology, Fora Financial is able to deliver capital to our customers via a streamlined and simple process that can be completed in as little as 24 hours, compared with the weeks or even months it often takes for a business to receive a bank loan.

Over the past seventeen years, Fora Financial has grown from two founders in a small Manhattan workspace to a company of nearly 200 employees. Fora Financial prides itself on being a partner-centric organization, offering a customized funding approach, collaborating with our small-business customers to understand their needs in a dynamic and ever-changing economic environment.

While we work very hard, we do not take ourselves too seriously. We enjoy a family-like camaraderie that fosters a passion for success in each Fora Financial Team member. 

The Benefits of Working for Fora Financial:

  • A good work/life balance
  • Medical, Dental, Vision Coverage
  • 401K Match
  • Life Insurance at No Cost to Employees
  • Generous Time Off Plan Including Rollover Vacation Days
  • Commuter Benefits
  • Health Care and Dependent Care Flexible Spending
  • Hybrid working model, two days remote per week
  • Competitive base salary range $75,000-$95,000 with year end bonus eligibility 

Fora Financial is an Equal Opportunity Employer. We are committed to fostering a diverse and inclusive workplace where all individuals are treated with respect and dignity. We do not discriminate on the basis of race, color, religion, sex, gender identity, sexual orientation, national origin, disability, age, veteran status, or any other legally protected status under local, state, or federal law. Fora Financial provides reasonable accommodations for qualified individuals with disabilities. If you need assistance or accommodations due to a disability during the application process, please contact fora.recruiting@forafinancial.com.

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