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Compliance Associate
@About Alto
[Hiring] Compliance Associate @About Alto
Apr 01, 2025 - About Alto is hiring a remote Compliance Associate. đź’¸ Salary: unspecified. đź“ŤLocation: USA.
This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more.
Role Description
The Compliance Associate provides general compliance support and operations and will assist the company’s SVP, Legal on all matters related to Product, Operations, Customer Support, Information Security, and Marketing.
- Support the company’s BSA Officer by administering the company’s KYC activities and maintain, implement, manage, and update its BSA Program at the BSA Officer’s direction.
- Document internal workflows and administer compliance training content for the company.
- Respond to internal client questions and requests regarding all matters related to operations, product, and customer support.
- Implement and maintain a system for intaking interdepartmental requests and questions, and maintain department knowledge base and company standard operating procedures (SOPs).
- Create a system for tracking department efficiency metrics and ensure the Legal and Compliance teams are meeting SLAs, and manage and keep current the company's compliance calendar.
- Prepare and submit compliance reportings and due diligence requests for the Company’s banking partners, regulators, and applicable third parties.
- Implement efficiencies for the Company’s procurement workflows, specifically for the Legal, Compliance, Info Sec, and Info Tech groups, in partnership with the Company’s Accounting Department.
- Prepare tax reportings for customer accounts, specifically 5498s and 1099-R - preparation includes auditing customer account information for accuracy of tax reporting and submitting information to the Company’s tax preparation vendor.
- Support efforts to achieve and maintain SOC 2 certification.
- Identify potential areas of improvement and efficiency in all areas of the Company.
Qualifications
- Must have at least 2-5 years relevant work experience in the financial services industry preferably with a Fintech start-up environment.
- Proven experience supporting compliance programs on behalf of a financial services organization.
- Familiarity with reviewing, and investigating suspicious activities along with knowledge of AML/BSA regulations.
- Previous experience with maintaining governance tools that automate information gathering for SOC 2 purposes.
- Excellent verbal and written communication skills, interpersonal and internal customer skills.
- Excellent organizational and project management skills and attention to detail, including the ability to handle multiple projects.
- Excellent time management skills with a proven ability to meet deadlines.
- Strong analytical and problem-solving skills.
- Ability to function well in a high-paced and at times stressful environment.
- CAMS certification preferred.
Benefits
- A generous open PTO policy
- Comprehensive health insurance options for employees
- 401(k) with company match up to 3% yearly
- Equity as a part of your compensation
- A competitive compensation and benefits package
- 12 paid holidays
- Discounted and/or free Alto investor accounts
- Four to 12 weeks paid parental leave
- A remote-first culture - work from home or our Nashville office
- Flexibility to work from anywhere in the US
- An emphasis on work-life balance
- No-meeting Fridays
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| đź“Ť | Be aware of the location restriction for this remote position: USA |
| ‼ | Beware of scams! When applying for jobs, you should NEVER have to pay anything. Learn more. |
Back to Remote jobs >
All others
All others
|
Salary
đź’¸
unspecified
|
Remote
Location
USA
|
|
Job Type
full-time
|
Posted
Apr 01, 2025
|
️
| đź“Ť | Be aware of the location restriction for this remote position: USA |
| ‼ | Beware of scams! When applying for jobs, you should NEVER have to pay anything. Learn more. |
