Compliance Associate

Overview

• World Business Lenders (WBL) is a privately held portfolio lender specializing in real estate-secured business loans for underserved businesses. WBL operates with a fully remote, multinational workforce and an experienced executive leadership team.
• Typically, the work schedule is from 9:00 AM to 6:00 PM Eastern Time, Monday through Friday, though additional hours may be required based on business needs.

About the Role

• WBL is seeking a Compliance Associate to support the day-to-day operation of WBL's compliance program. The Associate will perform monitoring and testing, maintain policies and training records, document findings, track corrective actions, and help confirm that buiness processes follow established legal, regulatory, and internal requirements..

What Success Looks Like

• Completes monitoring and testing accurately, consistently, and on schedule.
• Maintains complete evidence for policies, training, reviews, findings, and remediation.
• Identifies trends and recurring control gaps and escalates them promptly.
• Helps business teams understand and follow practical compliance requirements.

What You'll Be Doing (Core Responsibilities)

• Compliance Monitoring and Testing
• Perform scheduled monitoring and testing of lending, servicing, disclosure, licensing, and corporate compliance controls under approved procedures.
• Select samples, review records, document results, and retain evidence sufficient to support conclusions.
• Identify exceptions, assess patterns, and escalate potentially material or repeated issues to the Team Lead.
• Support quality-assurance reviews and validate completion of agreed corrective actions.
• Policies, Procedures, and Training
• Maintain the inventory, review schedule, approval history, and published versions of compliance policies and procedures.
• Coordinate periodic updates with process owners and confirm required approvals and distribution.
• Support compliance training administration, including assignments, attendance, attestations, completion tracking, and follow-up
• Prepare practical checklists, job aids, communications, and reference materials using approved guidance.
• Issue and Remediation Management
• Enter findings, risks, owners, due dates, and corrective actions into the issue-management process.
• Follow up with action owners, review supporting evidence, and maintain accurate status records.
• Assist with root-cause analysis, trend reporting, and identification of recurring control weaknesses.
• Maintain audit-ready documentation for open and closed compliance issues.
• Reporting and Business Support
• Prepare routine dashboards and reports on monitoring, training, policy reviews, findings, and remediation.
• Respond to documentation requests from Legal, Internal Audit, Operations, and other authorized stakeholders.
• Support compliance reviews of operational changes by gathering information and comparing practices to approved requirements.
• Recommend practical workflow and documentation improvements based on testing results and recurring questions.

Requirements

• Education
• Bachelor's degree in compliance, finance, business, accounting, legal studies, or a related field.
• Equivalent relevant experience may be considered.
• Compliance, risk, audit, or financial-services certification is preferred but not required.
• Required Experience
• 2+ years of experience in compliance, quality assurance, risk, audit, lending operations, servicing, or another controlled environment.
• Experience performing sample-based reviews, documenting findings, maintaining evidence, or tracking corrective actions.
• Familiarity with regulated financial-services processes is preferred.
• Strong analytical, documentation, spreadsheet, and deadline-management skills.

Preferred Background / Industry Experience

• Financial services, commercial lending, private lending, banking, fintech, specialty finance, mortgage lending, or another highly regulated industry.

Specific Technical Skills Needed

• Compliance monitoring, testing, sampling, and workpaper documentation.
• Policy, procedure, training, and attestation administration.
• Issue logging, remediation tracking, and evidence validation.
• Microsoft Excel, Word, PowerPoint, and compliance or workflow-management systems.

Key Competencies

• Objectivity
• Attention to detail
• Professional skepticism
• Clear communication
• Organization
• Accountability

Remote Work Requirements

• Stable, reliable internet connection.
• Professional and dedicated remote working setup.
• Ability to work effectively across a remote, multinational organization and maintain confidentiality.

Benefits

What We Offer

💰 Compensation in USD.

🏖️ Benefits include paid time off (PTO).

🌍 Work Environment: Fully remote work environment.

Ready to Apply?

If this sounds like you, we'd love to hear from you - submit your CV in English and hit Apply

Originally posted on Himalayas