Responsibilities
The Senior Compliance Professional will :
- Support the development and implementation of action plans, including policies and procedures to ensure all aspects of company compliance, and prevent violations and systemic compliance issues for internal departments and external service providers
- Review changes to regulatory requirements and help manage regulatory developments internally and across all servicing relationships
- Manage company licensing requirements for mortgage and consumer products and manage process for annual recertifications, state examinations, and audits for regulatory agencies and GSEs
- Handle periodic corporate licensing filings and submissions
- Develop policies and procedures regarding federal, state, local and GDPR (EEA and UK), international regulations regarding data security and consumer privacy
- Support company records retention program and help implement best practices for secure data transmission and data archiving / destruction
- Provide recommendations and monitor compliance training for all employees
- Assist with the company vendor management program, including onboarding for new vendors and periodic renewals for existing vendors
- Manage corporate securities trading policy and monitor employee trading related activities
- Provide compliance support for loan acquisition and securitization transactions
- Perform other duties, as needed
Qualifications :
- 10+ years of Regulatory Compliance and / or Legal experience in a Banking and / or Financial Services setting
- Bachelor's Degree
- Experience with and knowledge of Compliance and Regulatory requirements applicable to Consumer Lending, Mortgage Banking, Consumer Products, servicing and other Mortgage-related laws and regulations
- Experience in building / designing internal and external control infrastructure through testing, policies, procedures, guidance documents, and training development
- Experience with third-party compliance software tools / system
Desired Skills :
- Juris Doctorate
- Experience with / knowledge of ’33 Act, ’34 Act, and ’40 Act, related to securitization (issuance, marketing, and periodic reporting)
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