SUMMARY

The Risk Compliance Officer I is an entry-level associate who supports the end-to-end compliance vendor management process. This role helps Compliance associates evaluate, onboard, and monitor third-party providers so we can safely deliver products and services to our clients.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Vendor intake and triage
• Due diligence coordination
• Request, track, and perform first line reviews of artifacts (e.g., SOC 1/2 reports, SIG/CAIQ questionnaires, information security and privacy policies, business continuity/DR, financial statements, certificates of insurance, penetration test summaries).
• Risk assessment support
• Policy and procedure support
• Ensure documentation quality (naming standards, version control, retention tags)
• Answer routine compliance questions and escalate when needed
• Provide practical guidance so associates can serve clients in a compliant manner
• Log new/regulatory updates, summarize key impacts, and route to the right owners
• Performs other related duties as required

SUPERVISORY RESPONSIBILITIES

1. No supervisory responsibilities

QUALIFICATIONS

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Additionally, the qualifications listed below are representative of the knowledge, skills, and/or abilities required in this position:

1. Bachelor’s degree (4-year college)

2. 0+ years of Banking experience or equivalent combination of education and experience

3. Attention to detail and organizational skills.

4. Proficiency with common PC software (Excel, Word, compliance systems/databases).

5. Effective communication skills to interact with associates at all levels and provide excellent client service.

6. Ability to handle confidential information with discretion.

COMPUTER AND OFFICE EQUIPMENT SKILLS

1. Microsoft Office suite

CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license, etc)

None required

About Us