Compliance Response Specialist I

About the Role

The Compliance Response Specialist I is responsible for assisting in the administration, coordination, and execution of the Company's compliance response processes. This role will work timely and cross-functionally with multiple business units to administer processes related to complaints, issue management and remediation, regulatory examinations, outsourced internal audit, and other compliance response domains.

Responsibilities

• Facilitate and support individual compliance response workflows end-to-end, from initial intake and stakeholder engagement to investigation through closure, maintaining timely, accurate outcomes in coordination with the Compliance Response Manager.
• Assist in the preparation and delivery of responses to examination requests, audit inquiries, consumer complaints, and internal business unit escalations, synthesizing cross-functional input into cohesive deliverables.
• Support issue management and remediation activities related to compliance initiatives proactively tracking corrective actions, validating closure evidence, and confirming remediation commitments are met within established timelines.
• Act as an additional point of contact for business partners, regulators, and third parties, driving follow-ups, clarifying expectations, and maintaining accountability across teams.
• Conduct root cause analysis to strengthen and enhance the Company's compliance controls and framework to prevent potential compliance issues.
• Assist in the management and maintenance of compliance response reporting by contributing meaningful metrics and trend analyses.
• Build and maintain strong working relationships with business partners to promote a culture of proactive compliance awareness and responsiveness across the organization, supporting business partners in understanding regulatory expectations.
• Stay current on industry best practices, regulations, and changes in applicable laws and contribute to process improvements, updating procedures, and creating efficiencies.

Qualifications

• Bachelor’s degree or equivalent.
• Two years related experience in compliance, risk management, regulatory affairs, or a related function within financial services.
• Experience interacting with regulatory agencies, responding to legal process, and managing remediation activities is preferred.
• Knowledge of Microsoft Office suite and any applicable role-specific development or design software.

Pay

USD $60,000.00 - USD $70,000.00 /Yr.

Benefits

• Day-one Health Benefits (medical, dental, vision, and flexible spending options like HSA or FSA accounts)
• 401(k) with company match enrollment on day-one
• Paid, Sick and Volunteer Time Off
• Paid Parental Leave Options
• Employer Paid Life and Disability
• Wellbeing on Demand Program
• Flexible Work Environment with a casual dress code

About Foundation Finance

Foundation Finance Company (FFC), a Great Place to Work® certified company since 2017, is a fast-growing consumer finance company working with home improvement contractors across the U.S. to drive sales through flexible, customer-focused financing options.

Employment status (full-time or part-time) may affect eligibility for certain benefits. Some benefits become available only after a specified period of employment. Eligibility, coverage details, and enrollment processes will be provided during the onboarding process.

Remote employees must reside in one of the following states: AL, AR, AZ, CO, FL, GA, IL, IN, KY, LA, MD, MI, MN, MO, MS, NC, NJ, NV, NY, OH, OK, OR, SC, TN, TX, UT, VA, WA, and WI.