Specialist, Compliance

Summary: The Specialist, Compliance - Trustee will support the VP of Compliance in ensuring compliance and operational excellence across the trustee company. This role involves reviewing loan files and call recordings, conducting audits, identifying risks, and helping implement quality control measures. The Specialist will play a key role in maintaining adherence to federal, state, and local regulations, as well as client and investor guidelines. Essential Job Duties and Responsibilities:

• File and Call Review:
• Conduct detailed reviews of loan files and call recordings to ensure accuracy, completeness, and compliance.
• Document findings and escalate issues as needed.
• Audit Support:
• Assist in performing internal audits and quality checks across operational processes.
• Help prepare audit reports summarizing scope, findings, and recommendations.
• Regulatory Change:
• Monitor for changes in laws and regulations and assist in updating procedures accordingly.
• Policy & Procedure Compliance:
• Review and validate departmental policies and procedures against regulatory and client requirements.
• Recommend improvements to mitigate risk and enhance operational efficiency.
• Communication & Reporting:
• Collaborate with cross-functional teams to address quality gaps.
• Provide clear and concise reporting on audit outcomes and compliance metrics.
• Training & Monitoring:
• Identify training needs based on audit findings.
• Track completion of corrective actions and training initiatives.
• Compliance Training:
• Oversee annual compliance training and ensure timely completion by team.
• Compliance Tracking:
• Data Security
• Customer Complaints
• Vendor Errors
• Issue Management
• Comply with all company policies and procedures.
• Maintain regular and punctual attendance.

Other Job Duties and Responsibilities: Performs other related duties as assigned. Supervisory Responsibilities:

• This position is an individual contributor.

Qualifications: To perform this job successfully, an individual must be able to perform each essential function satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.

• Strong understanding of regulatory requirements and risk management principles.
• Excellent attention to detail and analytical skills.
• Effective written and verbal communication abilities.
• Proficiency in Microsoft Office Suite and audit tracking tools.

Education and/or Experience:

• Bachelor's degree or equivalent experience in business, finance, or a related field.
• 3+ years of experience in quality assurance, compliance, or auditing (mortgage or foreclosure experience preferred).

Certificates, Licenses, Registrations:

• None Required

Work Complexity: Problems and issues faced are general, and may require understanding of broader set of issues but typically are not complex. May require familiarity with the financial/mortgage (or job-specific) industry. Problems require understanding of other job areas. Problems are typically solved through drawing from prior experiences, with analysis of the issue. Work Environment: The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Work is normally performed in a typical interior office work environment which does not subject the employee to any hazardous or unpleasant elements. The noise level in the work environment is usually moderate. Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is frequently required to sit and talk or hear. The employee is occasionally required to stand; walk; use hands to finger, handle, or feel; and reach with hands and arms. The employee must occasionally lift and/or move up to 25 pounds. Equal Employment Opportunity: The company is committed to providing equal employment opportunities to all employees and applicants without regard to race, ethnicity, color, sex, marital status, sexual orientation, gender identity or expression, pregnancy, religion, national origin, age (40 and over), disability, military status, genetic information, or any other basis protected by applicable federal, state, or local laws. Americans with Disabilities Act: Applicants as well as employees who are or become disabled must be able to satisfactorily perform the essential job functions of the position either with or without reasonable accommodation. Applicants as well as employees are encouraged to meet with Human Resources as the organization shall review reasonable accommodations on a case-by-case basis in accordance with applicable law. Job Responsibilities: The statements reflect the general duties and responsibilities considered necessary to perform the essential functions of the job and should not be considered as an all-inclusive list of all the work requirements of the position. The company may change the specific job duties with or without prior notice based on the needs of the organization. Apply tot his job Apply To this Job