Job Summary:
The Compliance Manager is responsible for ensuring compliance with regulations, identifying, and documenting regulatory risks and assisting the businesses in developing appropriate controls.
Duties & Responsibilities:
- Facilitates annual regulatory risk assessment and providing senior management with recommendations based on the results.
- Tracks and provides recommendations for remediation of identified exceptions or deficiencies and collaborating with the business to follow up on timely remediation.
- Monitors complaints and litigation for trends.
- Trains employees on an ongoing basis and manages new hire compliance training.
- Oversees annual compliance testing.
- Assist with business annual reports
- Handle all annual state licensing, and bonds and necessary reporting needed for licensing
- Conduct vendor audits and any due diligence necessary
- Maintain tracking of all consumer complaints and coordinate proper responses
- Provides guidance to operational groups.
- Conducts periodic Code of Ethics tracking and compliance manual updates.
- Reviews regulatory inquiries and responses.
- Manages Organizational Reputation Management.
- Facilitates annual insurance policy renewals.
- Performs other related duties as assigned.
- Manages Compliance Management System in Navex PolicyTech and ensures staff engages with appropriate policies and training.
Required Skills & Abilities:
- Excellent verbal and written communication skills.
- Excellent organizational skills and attention to detail.
- Excellent analytical and problem-solving skills.
- Ability to assess risks with excellent decision-making skills.
- Proficient with Microsoft Office Suite or related software.
Education & Experience:
- Bachelor's degree or equivalent required.
. National Mortgage Licensing System (NMLS) experience required.
- At least 3 years of experience in a role directly managing key aspects of a compliance program.
- Demonstrated success managing teams, major program initiatives or working with regulatory agencies.
- Experience in Debt Settlement or adjacent (Credit Counseling, Credit Management, or Debt Collection) Industry is a plus.
