Aqua Finance, Inc. · 17 hours ago
Senior Compliance Examiner
Corporate_Cove
Full-time
Onsite
Senior Level
5+ years expAqua Finance, Inc. is a financial services company seeking a Senior Compliance Examiner to execute the compliance testing plan. This role involves conducting research, reviewing business operations, and ensuring compliance with federal and state regulations while providing guidance to testing team members.
Financial Services
Responsibilities
Lead consumer compliance reviews as Lead Examiner and provide guidance to testing team members to ensure adherence to applicable federal and state consumer finance regulations
Maintain strong awareness of regulatory changes, business initiatives, and change management impacts
Prepare clear, well-documented workpapers outlining testing procedures, results, and analysis
Apply independent judgment when evaluating business practices, compliance risks, and recommendations; escalate issues as appropriate
Identify compliance risks and assess the adequacy of control environments based on testing results
Provide regular progress updates and reporting to management
Draft comprehensive and defensible testing reports
Build and maintain effective working relationships with business partners and stakeholders
Respond to business inquiries related to compliance requirements and risk interpretation
Review and analyze policies, procedures, workflows, and first-line monitoring activities
Research regulatory and operational issues and provide clear, actionable recommendations or escalate as needed
Develop corrective action recommendations, review management action plans, and validate remediation through issue closure
Support special projects and other duties as assigned
Qualification
Required
Bachelor's degree in a related field or equivalent experience required
5+ years of experience in financial services compliance supporting consumer indirect or direct lending, including 3+ years in a compliance testing or monitoring environment
Proven ability to lead end-to-end compliance reviews, including scoping, planning, execution, and reporting
Experience using automation and technology to improve testing efficiency and validate controls
Experience assessing first- and second-line control environments
Strong working knowledge of consumer regulations including TILA, ECOA, FCRA, FDCPA, EFTA, ESIGN, GLBA, MLA, SCRA, TCPA, and UDAAP
Strong analytical skills with the ability to interpret regulations and apply them to business processes
Ability to identify trends, emerging risks, and root causes across testing cycles
Experience developing clear, defensible testing documentation and reports
Ability to influence stakeholders and communicate findings effectively
Experience partnering with legal, risk, audit, and operational teams to resolve compliance issues
Strong organizational skills with the ability to manage multiple priorities and deadlines
Demonstrated sound judgment, professional skepticism, and attention to detail
Proficiency in Microsoft Office
Ability to thrive in a fast-paced environment
Preferred
Certified Regulatory Compliance Manager (CRCM)
Jira/Confluence experience
Company
Aqua Finance, Inc.
Aqua Finance, Inc. is a financial services firm headquartered in Wisconsin.
201-500 employees
Funding
Current Stage
Growth StageTotal Funding
unknown2021-11-29Acquired
Leadership Team
Kurt Grossheim
Chief Executive Officer
Mark Vander Sanden
Executive Vice President - COO
Recent News
2025-11-11
2025-11-11
2025-11-11
Company data provided by crunchbase