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Compliance Specialist

Compliance Specialist

Yrefy, LLCPhoenix, AZ, United States
30+ days ago
Job type
  • Full-time
Job description

Job Title : Compliance Specialist

Type : Full-Time, Exempt, In-Office, Non-Remote

Reports to : Corporate Compliance Officer

About Us :

Yrefy is a dynamic lender solving the Student Loan dilemma with unique financial products for Borrowers. We stand alone with our 7-year specialized refinance products. We are growing and are seeking like-minded people to build our team. A strong desire to learn and grow is important to us.

Duties / Responsibilities :

The Compliance Specialist position will help create and manage the potential Investors' accreditation and the Company’s document lifecycle, from creation to disposal. This position is integral in the onboarding of Investors from a documentation and screening process. This position leads internal audits.

Interacts with potential Investors to receive accreditation documentation according to the accreditation policy.

  • Interacts with potential Investors to receive accreditation documentation according to the accreditation policy.
  • Assists in the processing and creation of the Company’s lifecycle of documents, including but not limited to subscription documents, referral partner agreements with financial advisors, ACH and wire instructions, securities agreements, investment promissory notes, credit bureaus pull forms, custodian forms, funding notices, funds acquired, time of death forms, etc.
  • Verifies documentation for accuracy, completeness, and compliance with standards, regulations, security, and confidential procedures.
  • Sorts, files, labels, reviews, and indexes documents accurately in the Customer Relationship Management (CRM) system and other applicable systems.
  • Responds to requests and inquiries from the Investor Relations team and potential Investors in a timely manner. Acts as liaison between teams and Investors.
  • Audits Investor files and reports any documentary deficiencies to Compliance Management. Assists in resolution process.
  • Reviews screening alerts for OFAC, Information Sharing 314(a) and other high-risk industries.
  • Interpret policies, procedures, and compliance requirements. Assists with the creation of procedures and compliance processes.
  • Communicates the procedures and compliance processes to the team.
  • Assists with creating new documents, such as inter-office memos or reports and procedures.
  • Attends all meetings and training courses as required.
  • Performs other related duties as assigned. Provide additional support for special projects as needed.

Required Skills / Abilities :

  • Excellent organizational skills and attention to detail.
  • Excellent written and verbal communication skills including active listening and customer relationship skills.
  • Excellent problem-solving and analytical skills with proven ability to identify themes and deliver insights.
  • Ability to handle confidential and sensitive documents and manage multiple tasks simultaneously, establish priorities and meet deadlines.
  • Positive, flexible and proactive.
  • Experience in assisting with creating processes and procedures.
  • Service-oriented, able to resolve customer grievances and questions courteously.
  • Proficient in Microsoft Office Suite.
  • Knowledge of CRM software.

    • Education and Experience :

  • Bachelor’s degree.
  • Customer service experience required.
  • Five (5) years of related experience in compliance or fraud prevention is required.
  • Securities / brokerage or advisory experience preferred.

    • Education and Experience :

  • Prolonged periods sitting at a desk and working on a computer.
  • Must be able to lift 15 pounds at times.
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    Compliance Specialist • Phoenix, AZ, United States