Commercial Compliance Quality Assurance Manager

Tompkins Financial
Buffalo
Workplace: OnsiteFull timeUSD 90,500 - 115,000 annuallyFunction: QA, Test & Release EngineeringEducation: bachelorsSkills: ["Risk management","Problem-solving","Decision making","Communication","Stakeholder influence"]

Own first-line compliance risk management for commercial lending and small business lending, translating regulations and enterprise policies into practical procedures, controls, and business guidance. Monitor and report portfolio compliance (financial statement tracking, covenant testing, annual reviews), coordinate remediation for audits and regulatory findings, and partner across lending, credit administration, operations, legal, risk, and second-line compliance. Support regulatory change, compliance training, and special initiatives while driving control effectiveness and audit readiness.

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Tompkins Financial
Tompkins Financial
1 day ago

Commercial Compliance Quality Assurance Manager

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Last checked: 15 hours agoStatus: Live

Job Summary

Own first-line compliance risk management for commercial lending and small business lending, translating regulations and enterprise policies into practical procedures, controls, and business guidance. Monitor and report portfolio compliance (financial statement tracking, covenant testing, annual reviews), coordinate remediation for audits and regulatory findings, and partner across lending, credit administration, operations, legal, risk, and second-line compliance. Support regulatory change, compliance training, and special initiatives while driving control effectiveness and audit readiness.
Location: Buffalo
Workplace: Onsite
Employment Type: Full time
Job Function: QA, Test & Release Engineering
Seniority: Manager level

Key Responsibilities

  • •Serve as the first line compliance risk owner for commercial lending processes, products, controls, and related business activities.
  • •Translate regulatory requirements and enterprise policies into procedures, controls, checklists, and guidance for lending teams across the commercial lending lifecycle.
  • •Maintain control monitoring routines and coordinate timely remediation of audit, compliance testing, regulatory exam, and self-identified findings while maintaining audit-ready evidence.
  • •Monitor portfolio compliance by tracking financial statement receipt/recording/review, covenant testing, annual review timeliness, and escalation of overdue or at-risk items.
  • •Prepare risk assessments and status updates for senior management and governance forums; support regulatory change management and compliance training.
Travel: Low travel

Pay and Benefits

Salary: USD 90,500 - 115,000 annually
Perks:Health InsuranceDentalVision401kProfit SharingPaid LeaveFree ParkingEmployee Referrals

Key Requirements

  • •Degree in business, finance, accounting, economics, risk management, law, or a related field; advanced degree or relevant certification preferred.
  • •Seven or more years of experience in commercial lending, banking compliance, credit administration, operational risk, internal controls, audit, or a related financial services function.
  • •Strong working knowledge of commercial lending processes, credit documentation, loan operations, risk governance, and compliance management practices.
  • •Demonstrated ability to evaluate processes, identify control gaps, assess root causes, and recommend practical risk-based solutions.
  • •Strong written and verbal communication skills, including explaining complex regulatory and control concepts to business partners.
Experience:Commercial lendingBanking complianceCredit administrationOperational riskInternal controlsAudit
Education:Bachelor's
Skills:Risk managementProblem-solvingDecision makingCommunicationStakeholder influence
Certifications:Certified Regulatory Compliance Manager
Languages:En-us

Company Brief

Tompkins Financial
Financial services holding company offering commercial and retail banking, wealth management, insurance, and employee benefits solutions through its subsidiary brands. Primarily serves individuals, businesses, and institutions across upstate New York and neighboring markets.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 250M to 500M
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Ithaca, United States
Founded: 1836
WebsiteLinkedIn