Compliance Specialist (Sandy, UT)

About the role

Identify Risk. Strengthen Compliance. Protect the Business.

Expansion Capital Group (ECG) provides financing solutions that help small businesses access the capital they need to grow. Our team specializes in efficient, non-traditional lending, balancing speed with strong credit discipline and a commitment to doing things the right way. We are looking for a Compliance Specialist to join our Compliance team. This role is ideal for someone who enjoys analytical work, solving problems, and helping organizations manage risk through strong compliance practices.

Responsibilities

• Administer ECG's Vendor Risk Management Program and manage the Venminder platform
• Conduct vendor due diligence and ongoing risk assessments for third-party vendors and referral partners
• Monitor vendor relationships and communicate contract renewals, expirations, and compliance requirements
• Evaluate operational, financial, cybersecurity, regulatory, and reputational risks associated with vendors
• Support internal compliance audits and regulatory monitoring activities
• Aid in developing and improving compliance policies, procedures, and risk management processes
• Monitor compliance with internal policies and applicable regulations
• Prepare reports, maintain documentation, and communicate findings to the Compliance Manager
• Partner with internal departments to support vendor selection, performance reviews, and compliance initiatives
• Help strengthen ECG's overall compliance and risk management culture

Requirements

• Completion of at least two years of post-secondary education
• At least two years of experience in financial services within compliance, vendor risk, underwriting, operations, or a related field
• Strong analytical, organizational, and project management skills
• Experience interpreting policies, regulations, or business procedures
• Excellent written and verbal communication skills
• Proficiency with Microsoft Office, including Word, Excel, PowerPoint, SharePoint, Teams, and Adobe Acrobat
• Ability to manage multiple priorities while maintaining a high level of accuracy
• Ability to work independently while collaborating effectively with others

Qualifications

Preferred Experience:

• Vendor Risk Management or Third-Party Risk Management
• Internal auditing or compliance auditing
• Financial services or banking compliance
• Enterprise risk assessments
• Regulatory examinations
• Policy and procedure development
• Venminder experience
• Compliance training or regulatory education