- Act as a compliance resource and respond to compliance questions from branch offices, other departments, investors, regulators, and others as needed.
- Assist in execution of Compliance Plan by performing various internal and regulatory compliance reviews.
- Investigate potential compliance issues and report findings.
- Research, analyze and summarize state and federal laws, regulations, etc.
- Prepare and maintain regulatory filings.
- Perform research and investigation as necessary to assist with the completion of company reports.
- Assist with audits, exams, and the preparation and completion of compliance reports and follow up to ensure issues are resolved.
- Assist with HMDA data review process and enter information through the QuestSoft program.
- Support Marketing Team and assist with marketing compliance by reviewing marketing materials and providing feedback.
- Assist with staff compliance training (including content development/refinement), maintain training schedules, and track completion.
- Assess compliance-related policies and procedures and make recommendations.
- Assist Compliance and Legal Umbrella Management as needed.
- Administrative duties such as copying, scanning, preparing mailings, etc.
- Experience with Encompass Loan Origination System.
- Experience with Mavent Compliance Service.
- Experience in the mortgage industry.
- Extensive familiarity with regulatory frameworks and with the regulatory environment related to the mortgage lending industry or a related field.
- Extensive experience working with regulators such as FDIC, HUD, or similar and/or state regulators.
- Familiarity with existing state and federal laws and regulations and proven ability to learn new state and federal laws and regulations related to the mortgage lending industry.
- Ability to manage people.
- Ability to conduct investigations and interviews using excellent communication skills.
- Ability to summarize and communicate complex information in written and oral formats.
- Ability to maintain confidential and/or privileged information.
- Ability to work individually and within a team.
- Ability to communicate complex information in plain language.
- Strong leadership skills.
- General administrative skills.
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Compliance Specialist - Pewaukee, United States - Waterstone Mortgage
3 weeks ago
Description
SUMMARY:The full time Compliance Specialist/Temporary Role will play a major role in ensuring the organization's adherence to the compliance plan and federal laws and regulations.
This role is a temporary position and will be hired through a temp agency. Open to remote, hybrid, or in person.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following.
Under the direction of Compliance and Legal Umbrella Management:
Additional education and/or experience: Five years work-related experience in the mortgage industry or within a regulatory environment.
COMPUTER SKILLS: Microsoft Office, Excel, and Adobe required. NMLS, QuestSoft, and Trupoint/NContracts experience preferred but not required.
LANGUAGE SKILLS: Good grammar and diction are required. Ability to read and comprehend instructions, write correspondence, and write memorandums is required. Ability to effectively present information in one-on-one and small group situations to customers, clients, and other employees of the organization is required.
MATHEMATICAL SKILLS: Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rate, ratio, and percent is required.
CUSTOMER SERVICE SKILLS: Using excellent customer service skills which includes maintaining a good attitude, taking ownership of meeting customer needs, going the "extra mile" for customers, demonstrating a commitment to sharpening skills through education and training, using positive communication, and looking for opportunities to respect customers' time and schedules is required.
REASONING ABILITY: Strong ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists is required. Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form is required. Ability to review, analyze and apply complex legal theories, laws, regulations, and guidance from regulators. Ability to apply information to various situations accurately and effectively.
Individuals in this position shall not engage in loan origination during the course of his/her employment with WMC. Loan origination is defined as (1) taking a residential mortgage loan application; or (2) offering or negotiating terms of a residential mortgage loan for compensation or gain; (3) advertising or communicating to the public that you can perform loan origination services. Please see the Loan Originator Compensation Policy for more details on the definition of loan origination.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR c)
