Compliance Associate
Job Description:
• Support the following Compliance functions:
• Regulatory Strategy. Manage company license applications and renewals; respond to regulatory inquiries; and manage state examinations.
• Compliance Management Program. Manage the Company’s Compliance programs relating to: policies & procedures, training, consumer complaints, issue management, marketing, and vendor management.
• Audit. Manage internal and third-party audits including investigating issues, responding to requests, and leading remediation efforts.
• Support business teams on compliance and regulatory requirements.
• Other duties as assigned
Requirements:
• Bachelor’s degree
• 2+ years of relevant experience
• Preferred: experience in Financial Services
• Preferred: familiarity with the Nationwide Mortgage Licensing System and state license systems
• Must be extremely detail-oriented, organized, and comfortable working in a fast-paced environment
• Professional and positive in interactions with others and is able to establish rapport quickly
Benefits:
• Competitive base salary
• eligibility for an annual incentive bonus
• equity
• Support the following Compliance functions:
• Regulatory Strategy. Manage company license applications and renewals; respond to regulatory inquiries; and manage state examinations.
• Compliance Management Program. Manage the Company’s Compliance programs relating to: policies & procedures, training, consumer complaints, issue management, marketing, and vendor management.
• Audit. Manage internal and third-party audits including investigating issues, responding to requests, and leading remediation efforts.
• Support business teams on compliance and regulatory requirements.
• Other duties as assigned
Requirements:
• Bachelor’s degree
• 2+ years of relevant experience
• Preferred: experience in Financial Services
• Preferred: familiarity with the Nationwide Mortgage Licensing System and state license systems
• Must be extremely detail-oriented, organized, and comfortable working in a fast-paced environment
• Professional and positive in interactions with others and is able to establish rapport quickly
Benefits:
• Competitive base salary
• eligibility for an annual incentive bonus
• equity