Director, Issue Management & Compliance Monitoring

Purpose of Role

Responsible for leading the firms compliance monitoring testing and issue management programs across all business lines. Ensures that the Compliance Department maintains an effective second line of defense through proactive identification assessment and remediation of compliance risks. Designs and oversees comprehensive monitoring plans manages the execution of compliance testing and leads the issue management lifecycle to drive timely and sustainable remediation.

Key Responsibilities and Expectations

• Leads the development and execution of the enterprise-wide compliance monitoring and testing framework.
• Oversees the outsourcing of monitoring activities to third-party partners ensuring alignment with internal standards regulatory expectations and company policies.
• Manages vendor relationships utilized for core job functions including performance monitoring quality assurance and adherence to service-level expectations.
• Reviews and validates results of monitoring and testing activities ensuring findings are accurate risk-based and supported by evidence.
• Develops and maintains monitoring plans that prioritize areas of greatest compliance risk and regulatory impact.
• Delivers consolidated reporting and insights to Compliance leadership and senior management on monitoring and testing outcomes trends and emerging risks.
• Oversees the companys compliance issue management process from issue identification through remediation and closure.
• Ensures consistent root cause analysis action plan development and verification of corrective actions.
• Maintains comprehensive documentation and tracking of issues in accordance with Compliance program standards.
• Provides regular reporting and analysis on issue trends remediation progress and areas requiring escalation to leadership or governance committees.
• Establishes and maintains policies procedures and governance structures for monitoring testing and issue management.
• Partners with Risk Internal Audit Legal and business leaders to ensure alignment across the three lines of defense and minimize duplication of oversight activities.
• Identifies opportunities for continuous improvement in program design reporting and operational efficiency.
• Stays informed of regulatory developments and best practices affecting compliance oversight and issue management.
• Performs other duties as assigned.

Reports To

• SVP Chief Compliance Officer

Direct Reports

• 1-3 Compliance Analysts

Qualifications - Experience/Skills/Competencies

• Minimum 10 years of experience in compliance risk management or internal audit with at least 5 years in a leadership role.
• Deep regulatory knowledge strong analytical skills and the ability to build collaborative relationships across Compliance Risk and business management teams.
• Experience overseeing outsourced or co-sourced compliance monitoring or testing programs.
• Strong understanding of financial services regulations and compliance program frameworks.
• Demonstrated experience in compliance monitoring testing and issue management processes.
• Excellent analytical organizational and communication skills.
• Proven ability to build relationships and influence across multiple levels of the organization.
• Experience in a matrixed or multi-line business environment.

Qualifications - Education - Required

• Bachelors Degree

Qualifications - Education - Field(s)/Profession(s)

• Finance Accounting Statistics Economics or related.

Compensation

The base salary range for this position is inclusive of all geographical differences in the labor market. The base salary for the position will be determined based on factors such as the candidates work location skills education and addition to those factors we believe in the importance of pay equity and consider the internal equity of our current team members in determining any final offer. We offer a competitive benefits package including health dental vision life insurance paid time-off benefits flexible spending account 401(k) with employer match and ESPP.

Additional Information

The application deadline for the job opportunity is 12/22/2025.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

Finance of America is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race color sex (including pregnancy) sexual orientation religion creed age national origin physical or mental disability gender identity and/or expression marital status veteran status or other characteristics protected by law.

Required Experience:

Director