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Compliance Specialist

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 Specialist will assist in handling a variety of general compliance matters in supporting the department’s overall compliance objectives.

A Day in the Life of a Compliance Specialist
• Test and monitor company compliance controls and create annual schedule for same
• Support audit process and third-party compliance response
• Update/draft internal policies and procedures.
• Coordinate with GC/CCO and AGC/CO to expand compliance framework.
• Ensure that company disclosures and materials reflect current law and regulations.
• Manage compliance training and generate compliance reports.
• Assist AGC/CO in compliance assessments and control implementation, particularly in regards to regulatory changes.
• Contribute to company-level initiations and special projects.
• Provide general support to the Legal and Compliance department

What You Have
• Bachelor’s degree with 2-4 years of experience in a compliance role
• Experience in financial services industry strongly preferred
• Experience in BSA/AML, ECOA/Fair Lending and/or UDAAP preferred
• Propensity to learn business requirements quickly, analyze legal and commercial risks, and propose creative, business-oriented solutions
• Superior written and verbal communication skills, as well as strong organizational skills.
• Skill in handling evolving priorities in a dynamic environment in a thoughtful and practical manner.
• Ability to relate well to co-workers and build effective business partnerships.

 

Base Salary Range: $65,000-$85,000

 

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.

We offer a competitive salary, growth potential, and a casual yet professional hybrid work environment. Located in the heart of midtown Manhattan, you can enjoy lunch downstairs listening to the summer band series or around the corner in Bryant Park. After work, you can hop on a Citi Bike to ride to the Hudson River Park, take a stroll to a show on Broadway or attend an event at Madison Square Garden. Our office sets the stage for our employees’ success and well-being. We provide all the tools and support needed to maximize your career potential, in addition to perks and extras like daily breakfasts, endless snacks, catered lunches, a chill lounge/games area and more. 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:

  • Opportunity for Advancement
  • Medical, Dental, Vision Coverage
  • 401k Plan with Company Match
  • Gym Reimbursement for Employees on Medical Plans
  • Life Insurance at No Cost to Employees
  • Generous Time Off Plan
  • Flexible Spending and Commuter Benefits
  • Year End Bonus Eligibility 
  • Free breakfast, snacks, and weekly lunch in the office
  • Hybrid work option (2 days remote per week)

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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