Compliance Audit Specialist

Role Overview

This position will join the Legal and Compliance Department and will be responsible for tracking and assisting with state, GSE, federal and internal audits and examinations, including document production and communication in producing documentation for audits. This position performs all duties in accordance with company policies and procedures and all state and federal regulations.

Role and Responsibilities

  • Point of contact for state exams/audits and internal audits conducted by third party. Duties include information gathering, submitting responses, working under the direction of VP Compliance to respond to examiners and auditors for the duration of the exam.
  • Assists with federal and GSE exams/audits
  • Prepares reports of state examination findings to Senior Management teams;
  • Tracks examination results with affected departments for 30-60-90 day period, and annual follow-up.
  • Works with document software vendor to ensure state disclosures are included in document packages and disclosed timely/accurately.
  • Stays current on state and federal compliance regulatory changes;
  • Maintains and updates company Compliance Management System as it relates to state/federal examination procedures under the direction of VP Compliance;
  • Keeps track of state reporting requirements

Skills/ Knowledge/ Behaviors

  • Minimum 2 years recent audit experience required.
  • Proficiency with all MS Office applications.  Excel proficiency to include using formula functions for basic math calculations and linking data between spreadsheets and using pivot tables to sort and calculate data averages.
  • Familiarity with Byte LOS, NMLS, Doc Magic
  • Basic understanding of mortgage lending process for a non-depository
  • Ability to research state regulations and communicate findings effectively
  • Ability to adapt quickly to other information systems
  • Detail-oriented with strong organizational skills
  • Excellent oral, written and interpersonal communication skills
  • Professional, courteous demeanor
  • Ability to follow directions and perform work accordingly
  • Must be able to pass background check 

Position Type: Full-time, Non-exempt
Travel Required: No
Reports To: VP Compliance
Pay Range: $18-20/hr

This employer participates in E-Verify and will provide the federal government with your Form I-9 information to confirm that you are authorized to work in the U.S.