Job Description

About the Company

Recruit Mogul is conducting a confidential search on behalf of a commercial lending platform entering a strategic bank partnership to originate and manage small business credit products. As part of this initiative, the organisation is launching a de novo bank program and building a bank-grade compliance framework from the ground up.

About the Role

The firm is seeking a Chief Compliance Officer to design, implement, and lead an enterprise-wide Compliance Management System (CMS). This is a hands-on leadership role suited to a compliance professional who has built or significantly transformed compliance infrastructure and can operate across both strategic and operational levels.

Location

Charleston, SC (Hybrid flexibility considered)

Responsibilities

• Design, implement, and own a bank-grade Compliance Management System (CMS) from inception
• Act as the primary liaison with the bank partner, regulators, auditors, and external advisors
• Establish policies, procedures, governance structures, and reporting frameworks aligned with supervisory expectations
• Lead regulatory readiness, including preparation for bank oversight, examinations, and ongoing compliance reviews
• Build and manage monitoring, testing, complaint management, and escalation frameworks
• Ensure documentation, controls, and testing meet regulatory and bank partner standards
• Own regulatory change management across federal and state requirements, including licensing
• Oversee third-party risk management and coordinate audits and independent compliance reviews
• Lead the Information Security Program (WISP, vendor security, SOC 2 readiness, incident response)
• Implement compliance training across underwriting, marketing, servicing, and leadership teams
• Develop risk assessment methodologies and report to executive leadership and the board
• Embed compliance into day-to-day operations as the internal owner of the function

Qualifications

• 7+ years’ senior compliance experience within a bank, fintech, or bank–fintech partnership
• Proven experience building or materially enhancing a Compliance Management System
• Experience working with regulators and supporting bank examinations
• Strong knowledge of KYC/KYB, AML, UDAAP, fair lending, and commercial lending regulations
• Track record of developing policies, procedures, and compliance frameworks from inception
• Familiarity with information security frameworks (e.g. NIST, FFIEC)
• Ability to translate regulatory requirements into practical, scalable business processes

Pay range and compensation package

$150,000 – $220,000

Eligibility to participate in the company’s medical and 401(k) plans

Equal Opportunity Statement

The client is an equal opportunity employer. All qualified applicants will be considered without regard to race, colour, religion, sex, national origin, age, disability, veteran status, or any other protected characteristic under applicable law.

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