Compliance Specialist, Finance & Banking

Job Overview

The Compliance Specialist coordinates and supports external client audits, oversees internal compliance testing, and ensures that policies, procedures, and training programs align with regulatory and client requirements in a regulated collections environment. This role serves as a key client-facing contact for compliance and audit matters, manages exception reporting, and collaborates closely with internal teams to strengthen controls and maintain high standards of accuracy, accountability, and transparency.

• Coordinate and support external client audits by gathering, organizing, and validating requested documentation, and actively participating in audit discussions.
• Serve as a primary point of contact for client-facing compliance and audit coordination, particularly for external bank audits in a regulated collections operation.
• Manage and review client exception reports, ensuring that issues are identified, investigated, and resolved accurately and in a timely manner.
• Respond promptly and professionally to ad hoc client requests related to compliance, reporting, and audit inquiries.
• Conduct internal audits and compliance testing to verify that established processes, policies, and procedures are consistently followed.
• Identify areas for improvement in internal audit and testing processes and recommend enhancements to strengthen controls and efficiency.
• Monitor call recording and voice‑to‑text reports to ensure adherence to compliance standards and regulatory requirements.
• Track, monitor, and ensure completion of required employee training, following up with team members and leaders as needed.
• Maintain and update internal policies and procedures to reflect current regulatory expectations, client requirements, and operational practices.
• Collaborate with teams across the organization to support compliance initiatives, address client concerns, and promote a culture of accountability.
• Support ongoing monitoring activities, including vendor compliance oversight and reporting, to ensure alignment with contractual and regulatory obligations.
• Use Excel and other Microsoft Office tools to organize data, build reports, create pivot tables and macros, and support compliance and audit analysis.
• Apply sound judgment when handling sensitive information and ensure that all documentation and communications maintain appropriate confidentiality.

• 3–5 years of experience in a compliance, audit, banking, or accounts receivable environment.
• Proven audit experience, including internal testing, external audits, and audit coordination.
• Experience in a regulated collections operation, banking, or accounts receivable environment, with exposure to client and vendor compliance.
• Strong organizational skills with the ability to manage multiple priorities and deadlines simultaneously.
• Excellent communication skills, with the ability to interact confidently and professionally with internal teams and external clients.
• Highly organized and detail‑oriented, with strong analytical and problem‑solving abilities.
• Comfortable working in a fast‑paced, evolving environment and adapting to changing requirements.
• Ability to use sound judgment and handle sensitive information with discretion.
• Proficiency in Excel, including file sorting, creating macros, and building pivot tables.
• Proficiency in Microsoft Office tools, including Word, Outlook, and related applications.
• General understanding of systems and technology used to support reporting and compliance processes.
• Demonstrated ability to work collaboratively and maintain strong working relationships across teams.

• Bachelor’s degree preferred, but equivalent experience will also be considered.
• Experience with client‑facing compliance and audit coordination, particularly with external bank audits.
• Background in banking, accounts receivable, or collections, with knowledge of B2C and credit card collections considered highly transferable.
• Experience with policy and procedure development, maintenance, and implementation.
• Familiarity with vendor compliance oversight and exception reporting processes.
• Interest in growing into a leadership or…