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, audit readiness, regulatory reporting packages
Domain
Mortgage lending, US federal and state regulations (Dodd-Frank, RESPA, ECOA, etc.)
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory risk management, compliance operations oversight, audit coordination, corrective action management, SOP development, team leadership, mortgage loan operations knowledge
Preferred skills
ACES, Encompass, Jira, Mavent experience
Technologies
ACES, Encompass, Jira, Mavent
Responsibilities
Provide oversight of Compliance Operations and Testing programs; Evaluate test scripts and sampling methodologies; Monitor compliance operations metrics; Maintain operational ownership of specific compliance alerts and tickets; Partner with Legal and Technology leaders; Support Branch Audit activities; Monitor compliance findings and corrective actions; Develop standard operating procedures; Coordinate compliance reporting packages; Analyze findings from regulatory agency audits; Lead and develop domestic and offshore team members
Seniority
Director, strategic leadership & team management