Compliance Analyst

About This Role

This role involves ensuring the company adheres to industry regulations and internal policies by conducting research, analyzing controls, and developing compliance programs. The position suits a detail-oriented professional with a background in business, finance, or law who can work effectively in a fast-paced environment.

Responsibilities

• Conduct thorough research to stay up-to-date on industry regulations, laws, and best practices
• Analyze internal controls and procedures to identify any gaps or weaknesses in compliance
• Develop and implement compliance programs and training materials for employees
• Monitor and audit company activities to ensure adherence to established policies and procedures
• Investigate and analyze potential compliance issues, recommending and implementing corrective actions
• Maintain comprehensive compliance documentation, including reports, policies, and procedures
• Collaborate with various departments across the organization to promote a culture of compliance
• Liaise with regulatory bodies as needed
• Work with legal counsel by responding to license item requests
• Complete quarterly Mortgage Call Reports
• Ensure California Finance Law License annual assessment invoices are remitted
• Execute reporting requirements for HMDA annual reporting
• Provide assistance with licensing (e.g., CFL (California Finance Law) & state licensing)
• Complete monthly loan-level reviews and reports on findings
• Assist with the information gathering for audits/examinations
• Execute on Home Mortgage Disclosure Act (HMDA) and licensing agencies reporting
• Complete Mortgage Call Report (MCR) filings
• Complete California Finance Law (CFL) filings
• Complete Department Real Estate (DRE) filings
• Manage the organization of legal documents

Requirements

• Bachelor's degree in Business Administration, Finance, Law, or a related field (preferred)
• At least 5 years of experience in compliance or a related field
• Strong understanding of research methodologies and data analysis
• Excellent written and verbal communication skills
• Ability to prioritize multiple tasks and work effectively in a fast-paced environment
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
• Familiarity with compliance software (a plus)
• Experience in use of QuickBooks and other business, payroll, & accounting software an advantage
• Familiarity with office management procedures and accounting principles
• Ability to work independently with high level of accuracy and detail
• Proactive approach to business and technology
• Excellent written and verbal English communication and interpersonal skills
• Strong attention to details and diligence towards work
• Bachelor 's degree in accounting, finance or related field
• Amenable to report onsite to our Cubao/Ortigas office
• Can start immediately

Benefits

• HMO on Day 1
• Receive promising perks and rewards
• Experience travel opportunities
• Get recognized for what you do
• Achieve work-life balance
• Improve exponentially with enhanced learning