Compliance Specialist

Professional Alternatives

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Job ID#: 18940

Compliance Specialist
Contract role
Remote if not local to WI

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following.
Under the direction of Compliance and Legal Umbrella Management:

  • Act as a compliance resource and respond to compliance questions from branch offices, other departments, investors, regulators, and others as needed.
  • Assist in execution of Compliance Plan by performing various internal and regulatory compliance reviews.
  • Investigate potential compliance issues and report findings.
  • Research, analyze and summarize state and federal laws, regulations, etc.
  • Prepare and maintain regulatory filings.
  • Perform research and investigation as necessary to assist with the completion of company reports.
  • Assist with audits, exams, and the preparation and completion of compliance reports and follow up to ensure issues are resolved.
  • Assist with HMDA data review process and enter information through the QuestSoft program.
  • Support Marketing Team and assist with marketing compliance by reviewing marketing materials and providing feedback.
  • Assist with staff compliance training (including content development/refinement), maintain training schedules, and track completion.
  • Assess compliance-related policies and procedures and make recommendations.
  • Assist Compliance and Legal Umbrella Management as needed.
  • Administrative duties such as copying, scanning, preparing mailings, etc.

ADDITIONAL DUTIES: 

  • Complete any additional duties as assigned by management.
  • Complete regulatory and compliance training, as required.
  • Assist WMC employees and Departments as needed.

QUALIFICATIONS

  • Experience with Encompass Loan Origination System.
  • Extensive familiarity with regulatory frameworks and with the regulatory environment related to the mortgage lending industry or a related field.
  • Extensive experience working with regulators such as FDIC, HUD, or similar and/or state regulators.
  • Ability to manage people.
  • Familiarity with existing state and federal laws and regulations and proven ability to learn new state and federal laws and regulations related to the mortgage lending industry.
  • Ability to conduct investigations and interviews using excellent communication skills.
  • Ability to summarize and communicate complex information in written and oral formats.
  • Ability to maintain confidential and/or privileged information.
  • Ability to work individually and within a team.
  • Ability to communicate complex information in plain language.
  • Strong leadership skills.
  • General administrative skills.

EDUCATION and/or EXPERIENCE: Associate’s degree required.

 

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