About This Role
This Compliance Analyst role focuses on ensuring adherence to industry regulations and internal policies, identifying gaps, and developing compliance programs. It involves thorough research, analysis, and collaboration across departments, and suits a detail-oriented professional with a proactive approach to business and technology.
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 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
