Compliance Specialist

Yrefy, LLC; Phoenix (AZ); On-site; USD 55,000 - 105,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Pension plan

Paid maternity leave

Student loan assistance

Tuition assistance

Disability insurance

Job summary

Yrefy, LLC is seeking a Compliance Specialist to manage investor accreditation and documentation processes. The role requires five years of compliance experience, excellent problem-solving and communication skills, and offers competitive salary and benefits. Join a dynamic team dedicated to innovative financial solutions for student loan borrowers.

Qualifications

• Experience in compliance or fraud prevention required (5 years).
• Ability to handle sensitive documents and manage multiple tasks.
• Excellent detail orientation and organizational skills.

Responsibilities

• Help create and manage potential investors' documentation and onboarding.
• Lead internal audits and ensure compliance with standards.
• Interact with potential investors to receive accreditation documentation.

Skills

Organizational skills

Communication skills

Problem-solving skills

Analytical skills

Customer relationship skills

Education

Five (5) years of related experience in compliance or fraud prevention

Tools

Microsoft Office Suite

CRM software

Job description

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Reports to: Corporate Compliance Officer

About Us:

Yrefy is a dynamic lender solving the Student Loan dilemma with unique financial products for Borrowers. We stand alone with our 7-year specialized refinance products. We are growing and are seeking like-minded people to build our team. A strong desire to learn and grow is important to us.

Duties/Responsibilities:

The Compliance Specialist position will help create and manage the potential Investors' accreditation and the Company’s document lifecycle, from creation to disposal. This position is integral in the onboarding of Investors from a documentation and screening process. This position leads internal audits.

Interacts with potential Investors to receive accreditation documentation according to the accreditation policy.

• Interacts with potential Investors to receive accreditation documentation according to the accreditation policy.
• Assists in the processing and creation of the Company’s lifecycle of documents, including but not limited to subscription documents, referral partner agreements with financial advisors, ACH and wire instructions, securities agreements, investment promissory notes, credit bureaus pull forms, custodian forms, funding notices, funds acquired, time of death forms, etc.
• Verifies documentation for accuracy, completeness, and compliance with standards, regulations, security, and confidential procedures.
• Sorts, files, labels, reviews, and indexes documents accurately in the Customer Relationship Management (CRM) system and other applicable systems.
• Responds to requests and inquiries from the Investor Relations team and potential Investors in a timely manner. Acts as liaison between teams and Investors.
• Audits Investor files and reports any documentary deficiencies to Compliance Management. Assists in resolution process.
• Reviews screening alerts for OFAC, Information Sharing 314(a) and other high-risk industries.
• Interpret policies, procedures, and compliance requirements. Assists with the creation of procedures and compliance processes.
• Communicates the procedures and compliance processes to the team.
• Assists with creating new documents, such as inter-office memos or reports and procedures.
• Attends all meetings and training courses as required.
• Performs other related duties as assigned. Provide additional support for special projects as needed.

Required Skills/Abilities:

• Excellent organizational skills and attention to detail.
• Excellent written and verbal communication skills including active listening and customer relationship skills.
• Excellent problem-solving and analytical skills with proven ability to identify themes and deliver insights.
• Ability to handle confidential and sensitive documents and manage multiple tasks simultaneously, establish priorities and meet deadlines.
• Positive, flexible and proactive.
• Experience in assisting with creating processes and procedures.
• Service-oriented, able to resolve customer grievances and questions courteously.
• Proficient in Microsoft Office Suite.
• Knowledge of CRM software.

Education and Experience:

• Customer service experience required.
• Five (5) years of related experience in compliance or fraud prevention is required.
• Securities/brokerage or advisory experience preferred.

Education and Experience:

• Prolonged periods sitting at a desk and working on a computer.
• Must be able to lift 15 pounds at times.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

Referrals increase your chances of interviewing at Yrefy, LLC by 2x

Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Pension plan

Paid maternity leave

Student loan assistance

Tuition assistance

Disability insurance

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