Compliance Officer – Issue Management, Compliance Monitoring
Job Description:
• Responsible for developing, strengthening, and implementing compliance programs.
• Identifies opportunities for improvement, and establishes action plans that support the execution and enhancement of the compliance monitoring, testing, and issue management programs.
• Evaluates control effectiveness, identifies and assesses risks, and ensures documentation is audit-ready.
• Coordinates issue remediation, tracks corrective actions, and delivers clear, management-ready reporting to promote strong regulatory and operational risk management across business lines.
• Executes risk-based compliance monitoring and testing activities across business lines to assess adherence to regulatory requirements, internal policies, and established control frameworks.
• Assists in design, enhancement, and ongoing refinement of monitoring plans, testing methodologies, and sampling strategies to ensure coverage remains aligned with evolving risk profiles and regulatory expectations.
Requirements:
• Minimum 3 years of experience in compliance, risk management, or internal audit within financial services.
• Direct mortgage industry experience, including monitoring or testing of loan origination, performing servicing, and default servicing operations.
• Experience across the full monitoring and testing lifecycle, including test design, execution, issue identification, root cause analysis, and remediation validation.
• Demonstrated ability to draft clear, defensible issue statements and support corrective action efforts.
• Experience working within established compliance or risk frameworks.
• Experience supporting co-sourced, outsourced, or offshore testing environments preferred.
• Experience with issue tracking systems such as Archer preferred.
Benefits:
• health
• dental
• vision
• life insurance
• paid time-off benefits
• flexible spending account
• 401(k) with employer match
• ESPP
Apply Now
Apply Now
• Responsible for developing, strengthening, and implementing compliance programs.
• Identifies opportunities for improvement, and establishes action plans that support the execution and enhancement of the compliance monitoring, testing, and issue management programs.
• Evaluates control effectiveness, identifies and assesses risks, and ensures documentation is audit-ready.
• Coordinates issue remediation, tracks corrective actions, and delivers clear, management-ready reporting to promote strong regulatory and operational risk management across business lines.
• Executes risk-based compliance monitoring and testing activities across business lines to assess adherence to regulatory requirements, internal policies, and established control frameworks.
• Assists in design, enhancement, and ongoing refinement of monitoring plans, testing methodologies, and sampling strategies to ensure coverage remains aligned with evolving risk profiles and regulatory expectations.
Requirements:
• Minimum 3 years of experience in compliance, risk management, or internal audit within financial services.
• Direct mortgage industry experience, including monitoring or testing of loan origination, performing servicing, and default servicing operations.
• Experience across the full monitoring and testing lifecycle, including test design, execution, issue identification, root cause analysis, and remediation validation.
• Demonstrated ability to draft clear, defensible issue statements and support corrective action efforts.
• Experience working within established compliance or risk frameworks.
• Experience supporting co-sourced, outsourced, or offshore testing environments preferred.
• Experience with issue tracking systems such as Archer preferred.
Benefits:
• health
• dental
• vision
• life insurance
• paid time-off benefits
• flexible spending account
• 401(k) with employer match
• ESPP
Apply Now
Apply Now