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Our client, a company in Ft. Worth, is seeking a compliance manager. In this role, you would manage the compliance hotline, run reports and analysis on cases, develop and manage programs and training, etc. This person will report to the Compliance Attorney.
• Administers global ethics and compliance reporting system, including assessment and oversight of relationship with third party vendor hosting the reporting system.
• Assists with ensuring that procedures, guidance, and standards are developed, implemented, maintained and updated for the general operation of the Compliance Program and its related activities in a consistent manner to prevent illegal, unethical or improper conduct.
• Manages training, pre-approval, and third party due diligence online systems including providing first level support to end users.
• Manages revisions to global compliance material published on the Company’s internal and external websites; coordinates the distribution and publication of these materials.
• Manages investigations from the hotline, including assigning matters to respective functions for investigation, providing support to investigators, and ensuring timely completion and resolution of investigations.
• Assists with developing and coordinating training opportunities and maintains live and on-line compliance training records.
• Assists with the management of trade compliance matters and OFAC regulations as they pertain to the business.
• Identify trends in ethics and compliance program activities.
• Manages the drafting, revising and editing of trainings, reports, and presentations, including presentations to the Board or Audit Committee and at other internal meetings
• Reviews due diligence forms submitted by employees and third parties for completeness.
• Reviews ongoing monitoring reports from third party due diligence system and escalates issues identified as needed.
• Assists with internal investigations as needed, working with the Compliance Counsel
• Manages internal investigation matter management system, by creating and updating case files and generating reports from system.
• Organizes and maintains global compliance files.
• Degree: Bachelor’s degree required.
• Minimum 3 years of compliance and/or comparable legal experience.
• Must be knowledgeable about best practices for ethics and compliance programs.
PPDocs, Inc., a mortgage document preparation firm in DFW, currently seeks an experienced Compliance Specialist to work as part of it Legal and Compliance teams, supporting the firm’s residential mortgage document preparation business. PPDocs, Inc.’s clients, located throughout Texas and several other states, include large banks, community banks, credit unions, and non-bank mortgage lenders. The Compliance Specialists at PPDocs, Inc. provide critical compliance guidance and support on a daily basis to the firm’s internal operations and technology teams, and to its many lender clients.
Specific Duties of the Compliance Specialist include:
• Provide residential mortgage compliance support and guidance to both internal operations & technology teams and external clients.
• Respond to client inquiries submitted to the compliance team via email or telephone. Evaluate and advise on loan level compliance issues.
• Provide guidance on necessary actions to make sure clients comply with state and federal legal requirements.
• Stay current on industry standards by continuing education, reading publications, talking with peers, and joining professional groups.
• Conduct loan level compliance testing of technology systems, including new programs, system updates, and vendor integration.
• Minimum of 5 years specific mortgage industry related experience required.
• Working knowledge of state and federal mortgage lending regulations, including, but not limited to, Regulation B, Regulation X,
Regulation Z (particularly TRID), and the Texas Constitution and homestead laws.
• Working knowledge of agency mortgage lending requirements and guidelines, including FHA, VA, USDA, Fannie Mae, and Freddie Mac.
• Ability to exercise independent judgment and analytical skills to proactively problem solve.
• Exceptional attention to detail to produce high-quality work with multiple interruptions.
• Professional demeanor and interaction with all customers (internal and external).
APPLY TODAY: www.ColonialCareers.com
The Compliance Analyst will be responsible for working with the bank’s business units to ensure they develop and maintain adequate controls to comply with applicable state and federal consumer regulations and company policies. This position will report to the Compliance Manager and may be involved in a variety of compliance activities including consultation, implementation, training, remediation, testing/auditing, monitoring, risk assessment and reporting of compliance issues within the bank.
• Perform independent transactional testing/auditing of mortgage and deposit products to ensure compliance with applicable federal banking laws and regulations
• Assist in evaluating the adequacy of the “First Line of Defense” processes within business lines to ensure compliance with all applicable consumer laws and regulations
• Work with compliance staff and business unit liaisons to provide compliance consultation where needed
• Guide and assist servicing business units on regulatory compliance matters
• Participate in the development and implementation of compliance training to business units
• Act as the subject matter expert in laws and regulations that impact the bank’s business lines
• Assist in the development and implementation of the Compliance Risk Assessment
• Assist in the implementation of the bank’s various compliance programs
• Develop and maintain effective and positive client relationships
• Various duties as assigned
• 2+ years of experience in consumer compliance, including mortgage and bank operations
• 2+ years of testing/auditing experience, preferred
• Must be knowledgeable with CFPB bank regulations
• Excellent organizational and analytical skills, demonstrated skills in critical thinking, attention to detail, and problem-solving
• Requires excellent verbal and written communication skills, and ability to interface effectively with senior management
• Highly proficient in time management, planning and prioritization
• Demonstrated experience with process flow and process mapping
• Proficient in task, time and data management abilities
• Must be a team player and able to work independently
• Ability to meet deadlines within strict time frames
• Ability to work in a fast paced changing environment
• Ability to work on and track multiple tasks and priorities
• Proficient in computer skills, Word, Excel, PowerPoint and Outlook
• Must be able to work effectively and efficiently under pressure
This position offers a full range of benefits including Health, Dental, and 401k.
Equal Opportunity Employer
APPLY TODAY: www.ColonialCareers.com
Colonial is a national provider of banking, home loans and insurance. Founded in 1952, the company has $1 Billion in assets and is privately held by choice to ensure our focus remains on our customers and not the expectations of Wall Street. Colonial is rated “Five Stars – Highly Recommended” as one of the strongest financial institutions in the country by Bauer Financial, a leading analyst, and has earned Fannie Mae’s Four STAR award for customer service and foreclosure prevention, as well as the highest achieving STAR Performer for best practices in General Servicing, Collections/Loss Mitigation and Neighborhood Stabilization in 2014.
Member FDIC | Equal Housing Lender | NMLS ID 401285
The Senior Compliance Manager is responsible for ensuring compliance with assigned federal, state, and local government laws and regulations as well as providing support to the Compliance Department. This position reports to the Vice President of Compliance and Regulatory Counsel.
• Manage compliance quality assurance for regulatory changes and new financial products and services by working closely with the Vice President
of Compliance and Regulatory Counsel and applicable business units.
• Participate in the state regulatory examination process, analyze regulatory examination findings to determine the root cause of errors, and
recommend and oversee corrective and preventive courses of action.
• Assist in the development of controls to implement compliance related changes, remediate past compliance violations, and avoid potential
compliance violations in the future as part of a team with the Information Systems (“IS”), Operations, Marketing, Product, and Legal
• Manage consumer feedback portion of the overall Compliance Management System, including auditing feedback, monitoring trends, and
implementing risk-based review systems.
• Review company product documents, communications, training, and advertising materials for regulatory compliance issues.
• Enhance both District Manager and Internal Audit programs based upon issues that arise out of examinations, regulatory complaints, regulatory
changes, new products, or other audit findings.
• Assist in development and delivery of training to remediate compliance issues identified and to avoid future compliance violations.
• Advise leadership on compliance trends and opportunities.
• Maintain and update risk assessments, policies, and procedures.
• Perform other related duties as requested.
Education and/or Experience:
A law degree is required. Candidate should have 3 to 5 years of experience with regulatory compliance. Licensed attorney and/or CRCM certification is a plus.
Must be proficient at Microsoft Word, Excel, and PowerPoint. SharePoint proficiency and familiarity with social media platforms are a plus. Must be able to manage shifting priorities with hard deadlines and multiple tasks with limited supervision. Requires excellent communication skills, ability to interact with multiple departments and a strong attention to detail.
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