Senior Compliance Officer

Jobtailor; Arizona; On-site; USD 70,000 - 110,000; Full time

Job summary

Jobtailor in the United States, Arizona, seeks a Regulatory Compliance professional to review information and data for policy adherence, provide effective challenge to the business, and support the Compliance Management System (CMS), particularly mortgage servicing oversight.

You will deliver expert guidance on bank policies, risk assessments, controls evaluation, and issue management, collaborating across lines of defense, interpreting compliance data, and communicating findings to management.

Qualifications

• ,2+ years of related experience in Regulatory Compliance, Risk Management, Internal Audit or similar field
• Experience with mortgage servicing compliance programs preferred
• High school diploma required
• Bachelor's degree in related field preferred
• Intermediate knowledge of general banking operations, including deposit operations, loan administration, treasury management and/or other commercial banking products and services
• Experience with mortgage servicing-related processes, including default and non-default and subservicing oversight preferred
• Intermediate knowledge of applicable mortgage servicing-related regulatory and legal compliance obligations, rules and regulations, industry standards and practices
• Intermediate understanding of MS Office
• Intermediate ability to foster and build relationships to achieve a common goal
• Intermediate speaking and writing communication skills

Responsibilities

• Review and analyze information, reports, or data to determine compliance with internal policy or regulations
• Provide effective challenge to the business where applicable
• Assist management with development, maintenance, and support of the Compliance Management System (CMS), particularly mortgage servicing-related compliance oversight
• Provide subject matter advice, oversight, and guidance on bank policies, compliance interpretation, risk assessments, issue management, policy and procedure review, controls evaluation, exam management, data management, and risk mitigation activities
• Collaborate with all lines of defense departments to support regulatory commitments and develop enhanced monitoring and controls
• Interpret and communicate compliance management information
• Identify root causes of potential compliance risk
• Advise on addressing risk and strengthening controls
• Provide periodic reports to management
• Monitor progress of compliance issues
• Analyze risk mitigation strategies and tactics
• Validate the effectiveness of corrective action plans by the line of business
• Identify opportunities to improve the design and effectiveness of compliance controls for first-line business units
• Issue final reports and communicate results in writing to first-line management or risk committees

Skills

Regulatory Compliance

Risk Assessment

Policy Review

Controls Evaluation

Issue Management

Exam Management

Root Cause Analysis

Risk Mitigation

Corrective Action Plans

Mortgage Servicing Processes

Education

High school diploma

Bachelor's degree in related field

Tools

MS Office

Job description

• Review and analyze information, reports, or data to determine compliance with internal policy or regulations
• Provide effective challenge to the business where applicable
• Assist management with development, maintenance, and support of the Compliance Management System (CMS), particularly mortgage servicing-related compliance oversight
• Provide subject matter advice, oversight, and guidance on bank policies, compliance interpretation, risk assessments, issue management, policy and procedure review, controls evaluation, exam management, data management, and risk mitigation activities
• Collaborate with all lines of defense departments to support regulatory commitments and develop enhanced monitoring and controls
• Interpret and communicate compliance management information
• Identify root causes of potential compliance risk
• Advise on addressing risk and strengthening controls
• Provide periodic reports to management
• Monitor progress of compliance issues
• Analyze risk mitigation strategies and tactics
• Validate the effectiveness of corrective action plans by the line of business
• Identify opportunities to improve the design and effectiveness of compliance controls for first-line business units
• Issue final reports and communicate results in writing to first-line management or risk committees

Requirements

• 2+ years of related experience in Regulatory Compliance, Risk Management, Internal Audit or similar field
• Experience with mortgage servicing compliance programs preferred
• High school diploma required
• Bachelor's degree in related field preferred
• Intermediate knowledge of general banking operations, including deposit operations, loan administration, treasury management and/or other commercial banking products and services
• Experience with mortgage servicing-related processes, including default and non-default and subservicing oversight preferred
• Intermediate knowledge of applicable mortgage servicing-related regulatory and legal compliance obligations, rules and regulations, industry standards and practices
• Intermediate understanding of MS Office
• Intermediate ability to foster and build relationships to achieve a common goal
• Intermediate speaking and writing communication skills

Core Competencies

Demonstrates expertise in Regulatory Compliance and Risk Management, with a focus on mortgage servicing compliance oversight and the development of effective compliance controls. Proficient in analyzing compliance risks and providing actionable insights to enhance organizational compliance frameworks.

Highest-signal resume keywords

• Regulatory Compliance
• Risk Management
• Mortgage Servicing Compliance
• Compliance Management System (CMS)
• Data Management

ATS Optimization Keywords

Hard Skills

• Compliance Oversight
• Risk Assessment
• Policy Review
• Controls Evaluation
• Issue Management
• Exam Management
• Root Cause Analysis
• Risk Mitigation
• Corrective Action Plans
• Mortgage Servicing Processes

Soft Skills

• Effective Communication
• Relationship Building
• Analytical Thinking
• Problem Solving
• Collaboration

Industry Keywords

• Banking Operations
• Regulatory Obligations
• Industry Standards
• Compliance Controls
• Commercial Banking Products

Tools & Technologies

• MS Office