Title and Escrow Compliance Supervisor

The Supervisor, Audit & Compliance is responsible for overseeing a centralized national team that supports audit readiness, regulatory compliance, risk management, operational controls, licensing administration, and customer issue resolution within the [Post Closing] department. This role serves as a key liaison between Operations, Underwriting, State Agencies, Compliance, Legal, and external business partners to ensure adherence to company policies, regulatory requirements, and industry standards.

The Supervisor will lead a team responsible for managing audits, regulatory inquiries, claims and subpoenas, licensing administration, fraud prevention activities, and operational exception management. This individual will drive process improvement initiatives, maintain standard operating procedures, and ensure consistent execution of compliance-related responsibilities across all states and business units.

Essential Duties and Responsibilities

Leadership Responsibilities

• Directly supervise and develop Audit & Compliance team members.
• Establish performance expectations, service standards, and productivity goals.
• Conduct coaching, performance reviews, and career development planning.
• Foster a culture of accountability, compliance, continuous improvement, and operational excellence.
• Partner with cross-functional leadership teams to support organizational initiatives and strategic objectives.

Brand Partnership & Change Leadership

• Partner with brand leadership and key stakeholders to identify compliance risks, operational control gaps, and opportunities for process improvement while ensuring alignment with company standards and regulatory requirements.
• Make recommendations for remediation plans with stakeholder involvement and drive accountability for corrective actions, issue resolution, and audit finding remediation.
• Lead adoption by brand teams of new processes, technology solutions, operational controls, and regulatory requirements to ensure consistent execution and compliance across all business units.
• Serve as a liaison between corporate support functions and brand operations, facilitating communication, change management, and the successful implementation of strategic and compliance-related initiatives.

Audit & Compliance Management

• Coordinate and manage all internal and external audits, including Underwriter, State Regulatory, and operational audits.
• Serve as primary point of contact for audit requests, documentation gathering, issue resolution, and corrective action plans.
• Monitor and track audit findings to ensure timely remediation and closure.
• Maintain audit documentation, reporting, and compliance records.

Regulatory & Licensing Administration

• Oversee individual and business licensing requirements across all applicable jurisdictions.
• Manage notary commission administration, renewals, and compliance monitoring.
• Coordinate regulatory filings and responses, including state insurance department inquiries and TDI filings.
• Monitor regulatory changes and communicate impacts to business stakeholders.

Risk Management & Fraud Prevention

• Supervise FinCEN, OFAC, FIRPTA, fraud prevention, and related compliance processes.
• Ensure appropriate review, escalation, tracking, and resolution of compliance-related alerts.
• Manage OFAC screening exceptions and investigations.
• Oversee underwriting alert bulletin administration and distribution.
• Partner with Legal, Compliance, and Risk teams on investigations and corrective actions.

Claims, Legal Requests & Escalations

• Coordinate claim inquiries, subpoenas, legal requests, and document production activities.
• Ensure timely, accurate, and compliant responses to external requests.
• Maintain records retention and document retrieval processes, including off-site storage and archived file requests.

Operational Controls & Financial Oversight

• Oversee shortage tracking, collection efforts, reimbursement requests, and exception reporting.
• Review trust shortages, operational losses, and root cause analyses.
• Manage over-limit alert investigations and escalation processes.