Director, Compliance
Core
Strategic leadership and oversight of Compliance Operations, Testing, and Quality Assurance functions to ensure effective execution of the Compliance Management System and mitigate regulatory risk.
Role type
Director, Compliance (Mortgage Lending)
Builds
Compliance Management System, regulatory reporting packages, audit responses, and internal control frameworks.
Domain
Financial Services / Mortgage Lending / Regulatory Compliance
Required skills
Regulatory risk management, compliance operations oversight, audit coordination, corrective action management, team leadership, SOP development, federal/state mortgage lending regulations knowledge.
Preferred skills
ACES, Encompass, Jira, Mavent, loan operations experience.
Technologies
ACES, Encompass, Jira, Mavent
Responsibilities
Provide oversight of Compliance Operations and Testing programs; Evaluate test scripts and sampling methodologies; Improve and monitor compliance operations metrics; Maintain operational ownership of RESPA Day 3, ECOA Day 30, HPML, Jumbo, Illinois APLD, KMT Auto Alerts, and Jira tickets; Partner with Legal, Technology, and business leaders to strengthen compliance controls; Support Branch Audit activities; Monitor compliance findings and corrective actions; Develop and maintain standard operating procedures; Coordinate development of compliance reporting packages; Analyze findings from regulatory agency audits and state examinations; Lead, coach, and develop domestic and offshore team members.
Seniority
Director, strategic leadership & management