Compliance Specialist

Job Description

Compliance Specialist
Full-Time, Non-Exempt: Monday - Friday Schedule
$27.88 - $34.15 / hour (DOE)
Identify Risk. Strengthen Compliance. Protect the Business. 

About Expansion Capital Group (ECG)

ECG provides financing solutions that help small businesses access the capital they need to grow. Our team specializes in efficient, non-traditional lending, balancing speed with strong credit discipline and a commitment to doing things the right way.

We are looking for a Compliance Specialist to join our Compliance team.

This role is ideal for someone who enjoys analytical work, solving problems, and helping organizations manage risk through strong compliance practices.

You'll play a key role by administering ECG's Vendor Risk Management Program, conducting vendor due diligence, supporting internal compliance audits, and helping reduce operational, regulatory, and reputational risk.

If you're naturally curious, detail-oriented, and enjoy researching, evaluating information, and improving processes, this is an excellent opportunity to grow your career in compliance.

In this role, you'll partner with leaders across the organization to help ensure ECG maintains a strong compliance culture while supporting sound business decisions.

What You'll Do:

• Administer ECG's Vendor Risk Management Program and manage the Venminder platform
• Conduct vendor due diligence and ongoing risk assessments for third-party vendors and referral partners
• Monitor vendor relationships and communicate contract renewals, expirations, and compliance requirements
• Evaluate operational, financial, cybersecurity, regulatory, and reputational risks associated with vendors
• Support internal compliance audits and regulatory monitoring activities
• Assist with developing and improving compliance policies, procedures, and risk management processes
• Monitor compliance with internal policies and applicable regulations
• Prepare reports, maintain documentation, and communicate findings to the Compliance Manager
• Partner with internal departments to support vendor selection, performance reviews, and compliance initiatives
• Help strengthen ECG's overall compliance and risk management culture

What You'll Learn:

• Vendor Risk Management and third-party risk oversight
• Internal auditing and regulatory compliance processes
• Financial services regulations and compliance best practices
• Enterprise risk management within a growing fintech organization
• Cross-functional collaboration with leaders across the business
• Process improvement strategies that strengthen compliance programs

Why Join Us:

• Meaningful Work: Help protect ECG from operational, financial, regulatory, and reputational risk
• Specialized Experience: Build expertise in Vendor Risk Management, compliance, and internal auditing
• Career Growth: Clear advancement opportunities within ECG's Compliance department
• Professional Development: Gain exposure to financial services regulations and enterprise risk management
• Collaborative Team: Work closely with leaders across multiple departments to improve business processes
• Growing Organization: Join a company committed to continuous improvement and responsible business practices

What We're Looking For:

Strong candidates typically have experience in:

• Financial services compliance
• Vendor Risk Management or Third-Party Risk Management
• Internal auditing or risk management
• Banking, fintech, or financial services
• Interpreting regulations, policies, or procedures
• Documentation, reporting, and analytical problem-solving

You'll Thrive in This Role If You Are:

• Analytical and naturally curious
• Highly organized and detail-oriented
• Comfortable researching and interpreting regulations
• Process-driven with strong follow-through
• An effective written and verbal communicator
• Able to work independently while collaborating across departments
• Committed to accuracy, integrity, and continuous improvement

Work Environment:

• In-office position based in Sioux Falls, SD or Sandy, UT
• Professional office environment with regular collaboration across departments
• Regular use of business systems and standard office technology
• Occasional evening or weekend work may be required based on business needs

Job Requirements

Required Experience:

• Completion of at least two years of post-secondary education
• At least two years of experience in financial services within compliance, vendor risk, underwriting, operations, or a related field
• Strong analytical, organizational, and project management skills
• Experience interpreting policies, regulations, or business procedures
• Excellent written and verbal communication skills
• Proficiency with Microsoft Office, including Word, Excel, PowerPoint, SharePoint, Teams, and Adobe Acrobat
• Ability to manage multiple priorities while maintaining a high level of accuracy
• Ability to work independently while collaborating effectively with others

Preferred Experience:

• Vendor Risk Management or Third-Party Risk Management
• Internal auditing or compliance auditing
• Financial services or banking compliance
• Enterprise risk assessments
• Regulatory examinations
• Policy and procedure development
• Venminder experience
• Compliance training or regulatory education

Equal Opportunity Employer

Expansion Capital Group is an equal opportunity employer and considers all applicants without regard to protected characteristics.