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Mortgage Compliance Analyst

2 months ago

Riverview, Florida, United States Castle Rock Capital Funding Full time
Job Overview

This position is remote.

MORTGAGE COMPLIANCE ANALYST (PART-TIME)

POSITION SUMMARY

Are you a seasoned mortgage compliance analyst seeking a part-time role that offers growth potential? If so, Castle Rock Capital Funding may be the right fit for you.

Castle Rock Capital Funding is a Florida-based mortgage brokerage founded by experienced professionals dedicated to enhancing the experience for both our team members and clients. We are in search of a knowledgeable part-time compliance analyst to oversee compliance and NMLS responsibilities for our organization. Your expertise will be crucial in navigating the complex compliance landscape to ensure our continued growth and adherence to regulations.

This role will initially require 16 hours per week, specifically 8 hours on Fridays and 8 hours on Mondays, with the potential for expansion as the company scales. Currently, we are closing 7-10 loans weekly, with expectations to increase to 15-20 by year-end.

Key Responsibilities:

During the first few months, the selected candidate will focus on:

  1. Compliance Review: Assess each closed loan file to ensure adherence to all applicable state and federal regulations. The compliance analyst will validate each file's completeness and compliance before authorizing payment to the Mortgage Loan Originator (MLO).
  2. Audit Preparation: Conduct thorough reviews of previously closed loans to ensure compliance and readiness for audits.
  3. Transaction Management: Maintain accurate transaction journals and call reports, ensuring timely filing and correctness of all entries.
  4. Policy Development: Establish and maintain compliance procedures and guidelines, collaborating with the Principal Broker to create a robust compliance framework.
  5. Advertising Compliance: Review and manage the advertising file to ensure all materials meet compliance standards.

NMLS Management:

The ideal candidate will possess extensive experience with NMLS operations, including:

  • Overseeing NMLS filings, onboarding, and termination processes.
  • Ensuring compliance with all NMLS requirements for the company.

Regulatory Interaction:

Responsibilities include:

  • Preparing for and managing audits.
  • Compiling and submitting call reports.
  • Acting as the company's representative for BSA, AML, CIP, and other regulatory obligations.
  • Staying informed about changes in laws and regulations to ensure compliance.

Licensing Oversight:

Manage licensing for MLOs and the company, including:

  • Ensuring all licenses are current and renewed.
  • Tracking MLO licenses and continuing education requirements.

Policy Enforcement:

Maintain compliance by:

  • Monitoring loan applications and files.
  • Educating employees on compliance regulations.
  • Approving all customer-facing materials for compliance.

Data Security:

Ensure secure data storage and compliance with all relevant regulations.

Advertising Approval:

Review and approve all marketing materials to ensure compliance with industry standards.

As Castle Rock Capital Funding continues to grow, we anticipate that the successful candidate will take on additional responsibilities and play a vital role in our executive team. We value work-life balance and strive to create a supportive corporate culture.

Qualifications:

  • Minimum of 1 year of compliance experience within a mortgage lending environment.
  • Possession of a valid and active Florida NMLS license.
  • Proficiency in NMLS operations and transactions.
  • Experience with regulatory audits and compliance assessments.
  • Ability to effectively communicate compliance issues to all levels of the organization.