Compliance Analyst

Role and Responsibilities
The Compliance Analyst reviews a sampling of files on a monthly basis (based on the audit sample guidelines), to determine compliance with processes and protocols.  The analyst will document all findings and provide a written report to the firm’s management which shows the compliance rating along with the detail of items within and out of compliance.  Additionally, the analyst will request a rebuttal for items found out of compliance and follow-up for the receipt of such.  The analyst will track performance by firm and will provide data to the Compliance Manager regarding trending and suggest potential corrective action needed to become compliant.  The analyst will follow-up on actions taken to correct the defects and escalate issues to management as appropriate.

• Evaluate sampling of files from each firm for conformance to established guidelines
• Audit  compliance of client directives within each firm
• Collect and produce written documentation for reporting of findings
• Complete reports and present statistical analysis of findings
• Collect, assist with development and analysis of quality measurement data
• Provide feedback to management on the quality of work
• Review rebuttals to audits, assist with the development of a corrective action plan and provide feedback to management
• Conduct follow-up audits to monitor progress on corrective action and escalate issues as appropriate
• Maintain current and accurate records of all relevant communications, audits, corrective action plans and effectiveness monitoring
• Establish and maintain effective working relationships with firm management and National Operations
• Retrieve, review and analyze business intelligence data
• Other duties may be assigned

Qualifications and Educational Requirements

• Minimum High School education, preferably some college/ college degree or equivalent experience
• General understanding of Mortgage Banking, Banking, Finance or experience in Law Firm
• Prior auditing work experience 
• Advanced experience with Microsoft EXCEL 2007

Preferred Skills

• Ability to create professional written documents and to verbally communicate findings to all levels of the organization
• Ability to independently analyze and research a situation to resolve key issues
• Ability to understand, analyze and interpret reports and data
• Ability to plan for, organize, prioritize and manage multiple tasks and adapt to changing work assignments
• Ability to develop a professional working relationship with others while working towards achieving a common goal
• Willingness to learn new skills, enthusiastic and eager to meet challenges and quickly assimilate new concepts
• Ability to quickly adapt to and navigate various computer software programs