Compliance & Operations Manager

Job Description

A data and tech driven SBM revenue based financing company, based out of Cedarhurst that is committed to providing their clients with superior financial solutions and have built their reputation on innovation and dynamism is seeking a detail-oriented and proactive Compliance & Operations Manager to oversee regulatory compliance and operational integrity. This role ensures that the company is operating within the boundaries of all applicable federal and state regulations across all 50 states, while also supporting daily operational execution and internal policy adherence.

Responsibilities:

• Compliance Management:
  • Monitor and interpret state and federal regulations governing MCA/RBF activities.
  • Ensure the company maintains compliance with licensing, registration, and disclosure obligations across all jurisdictions.
  • Review and update internal policies and procedures to reflect the latest regulatory changes.
  • Prepare documentation and oversee regulatory filings, audits, or inquiries.
  • Train staff on compliance policies, data handling, and regulatory changes.
  • Liaise with legal counsel when needed on compliance-related matters.
• Operational Oversight:
  • Ensure company-wide adherence to documented operational procedures.
  • Oversee physical security, record-keeping, and workflow compliance.
  • Monitor deal flow and company activities to ensure policies are followed (e.g., underwriting, collections, renewals).
  • Identify and address potential areas of noncompliance or operational risk.
  • Participate in periodic internal audits or quality assurance reviews.
• Risk Mitigation & Reporting:
  • Proactively identify compliance risks and propose solutions to minimize exposure.
  • Maintain records of compliance incidents or breaches and report them to senior leadership.
  • Assist with the implementation of company-wide internal controls and safeguard

Qualifications:

• 3+ years in a compliance, legal operations, or regulatory oversight role—preferably within financial services, MCA, lending, or fintech.
• Familiarity with federal and state regulations impacting small business lending, MCA, or consumer protection laws.
• Experience working with legal documentation, contracts, and regulatory filings.
• Strong analytical, research, and documentation skills.
• Excellent communication and organizational abilities
• Legal office or paralegal experience a plus (JD not required).