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Senior Compliance Consultant
2 months ago
We are currently seeking a Senior Consultant or Supervisor to enhance our banking and financial services offerings within the Herbein Risk Management Team.
Key Responsibilities:As a vital member of our team, you will deliver consulting services and specialized knowledge in bank regulatory compliance, focusing on consumer deposits and loans. Your role will involve:
- Maintaining an in-depth understanding of relevant mortgage compliance laws and regulations.
- Becoming a subject matter expert in critical laws and regulations pertaining to bank regulatory compliance.
- Developing expertise in mortgage industry compliance standards, including FNMA, FHLMC, FHA, VA, HUD, and Fair Lending Guidelines.
- Conducting thorough reviews to ensure compliance rules are applied correctly, fees are disclosed accurately, and loan documentation is prepared properly.
- Monitoring and analyzing emerging trends and changes in consumer-related laws and regulations, assisting management with the implementation of necessary regulatory changes.
- Executing fieldwork under appropriate supervision, engaging with all levels of management, and performing testing (including walkthroughs). You will take ownership of producing clear and well-organized audit work papers that document your work effectively, employing root cause analysis for problem-solving, and communicating potential issues promptly to supervisors and clients.
- Assessing the risks associated with key controls and the overall effectiveness of the control framework, ensuring management has timely and effective control remediation plans.
- Formulating conclusions regarding the adequacy of internal controls and procedures based on audit findings and company operations, drafting clear and concise audit reports, and participating in presenting findings to Internal Audit Management and Business Management.
- Monitoring the implementation of corrective action plans with first and second lines of defense and providing updates on findings to Internal Audit Management and Business Management.
- Bachelor's degree in Accounting, Finance, or Management Information Systems, or equivalent audit knowledge.
- 3-5 years of recent banking compliance experience, with a preference for mortgage compliance experience.
- 5+ years of experience in residential mortgage servicing, originations, or financial services is advantageous.
- Willingness to travel as necessary to regional banking clients.
- Experience in developing and evaluating tests of controls, analyzing issues, and creating effective corrective action plans.
- Ability to work collaboratively within a team while successfully managing independent assignments.
- Strong communication skills to prepare and deliver detailed presentations to senior management and interact effectively with regulators and clients.
- Proficiency in managing multiple assignments with minimal supervision while meeting performance measures.
- Strong technical skills in Microsoft Office (Word, Excel).
- Technologically adept with the ability to quickly learn various client systems.
Herbein + Company, Inc. and its subsidiary are equal opportunity employers. All applicants will be considered based on their knowledge, skills, and abilities without regard to race, color, religion, gender, sexual orientation, gender expression, national origin, veteran, or disability status.
