Compliance Manager

Job Summary:

The Compliance Manager is responsible for ensuring compliance with regulations, identifying, and documenting regulatory risks and assisting the businesses in developing appropriate controls.

Duties & Responsibilities:

· Facilitates annual regulatory risk assessment and providing senior management with recommendations based on the results.

· Tracks and provides recommendations for remediation of identified exceptions or deficiencies and collaborating with the business to follow up on timely remediation.

· Monitors complaints and litigation for trends.

· Trains employees on an ongoing basis and manages new hire compliance training.

· Oversees annual compliance testing.

· Assist with business annual reports

· Handle all annual state licensing, and bonds and necessary reporting needed for licensing

· Conduct vendor audits and any due diligence necessary

· Maintain tracking of all consumer complaints and coordinate proper responses

· Provides guidance to operational groups.

· Conducts periodic Code of Ethics tracking and compliance manual updates.

· Reviews regulatory inquiries and responses.

· Manages Organizational Reputation Management.

· Facilitates annual insurance policy renewals.

· Performs other related duties as assigned.

· Manages Compliance Management System in Navex PolicyTech and ensures staff engages with appropriate policies and training.

Required Skills & Abilities:

· Excellent verbal and written communication skills.

· Excellent organizational skills and attention to detail.

· Excellent analytical and problem-solving skills.

· Ability to assess risks with excellent decision-making skills.

· Proficient with Microsoft Office Suite or related software.

Education & Experience:

· Bachelor's degree or equivalent required.

. National Mortgage Licensing System (NMLS) experience required.

· At least 3 years of experience in a role directly managing key aspects of a compliance program.

· Demonstrated success managing teams, major program initiatives or working with regulatory agencies.

· Experience in Debt Settlement or adjacent (Credit Counseling, Credit Management, or Debt Collection) Industry is a plus.