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VP, Compliance

3 months ago

Chicago, United States Guild Mortgage Full time

Guild Mortgage Company, closing loans and opening doors since 1960. As a mortgage banking firm we are dedicated to serving the home owner/buyer. Our goal is to provide affordable home financing for our customers, utilizing the best terms available while providing a level of professionalism and service unsurpassed in the lending industry.

Position Summary

The VP, Compliance plays an important role in the organization by overseeing the performance of a number of activities related to the company's compliance functions including licensing, monitoring, compliance marketing, complaint oversight and examination management. The role is primarily responsible for identifying new and emerging areas of risk and approving the implementation of plans to minimize that risk, while ensuring company operations are being conducted in accordance with all applicable laws and guidelines. The VP, Compliance oversees a team of direct reports working to ensure licensing and regulatory requirements are met, reports are filed accurately on a timely basis, and regulatory and agency examinations are managed appropriately.

Essential Functions

  • Assess compliance risks and coordinate compliance monitoring and testing.
  • Oversee team and managers to ensure accurate and timely responses to city, state, federal, and investor reporting and filing deadlines; including, but not limited to, annual reports, examinations, mortgage call reports, HMDA report, complaints and licensing.
  • Develop and approve policies and protocols that affect Company-wide compliance with state-specific and federal consumer mortgage lending laws (e.g.,ECOA, FCRA, GLBA, HMDA, SFAE ACT, RESPA, TRID, TILA etc.) and agency guidelines (FHA, VA, FNMA, FHLMC, RHS, GNMA). Make recommendations to improve operations and business processes within the Company impacted by these requirements.
  • Analyze risk and internal controls to ensure compliance with applicable federal and state regulations, statues and rules.
  • Serve as a key resource to Senior Management providing information related to changes in industry regulations that impact work product and lead project teams to work internally and cross-departmentally to ensure controls are implemented and systems are updated, tested and monitored to reflect modifications to policies and procedures.
  • Maintain an ongoing program for internal compliance training for the Department, as well as companywide. Train staff on existing, new, and changed federal and state consumer mortgage lending regulations.
  • Serve as a liaison on federal state and agency examinations.
  • Review and approve manager and staff objectives and assign work/projects related to functional area of expertise.
  • Hold managers accountable for providing training and ensuring responsive, courteous, and knowledgeable service internally and to third parties.
  • Analyze escalated issues that require senior management attention or represent a higher risk to the company.

Qualifications

  • Bachelor's Degree, along with seven or more total years of experience in compliance related roles, total experience includes at least four years of experience managing a team of direct reports
  • Expert level knowledge and experience in consumer finance, including the mortgage lending process, industry-related compliance and regulatory requirements including but not limited to applicable federal and state laws, and agency guidelines.
  • Proven leadership skills
  • Ability to build knowledge and capability of direct reports.
  • Work independently in a fast-paced environment to complete assignments in a timely manner.
  • PC skills; proficiency with Google Docs, PDF/Adobe programs, and Microsoft Office suite.
  • Ethical, with a commitment to company values.
  • Excellent organizational, oral and written communication skills.

Supervision

Number

Job Titles

Direct: 4-6

Compliance Managers, Compliance Analysts

Indirect: 10

Compliance Analysts,, Senior Compliance Analysts, Supervisors

* High independent judgment and discretion used in decision-making; thinks critically about downstream impact of changes on processes and systems

* Researches and makes policy and protocol recommendations with Company-wide impact

* Initiates requests related to internal system update testing and auditing

* Hires, trains, coaches, disciplines, and exits team members

* Travel: 10-20%

Requirements

  • Physical: Work is primarily sedentary; mobility in an office setting.
  • Manual Dexterity: Frequent use of computer keyboard and mouse.
  • Audio/Visual: Ability to accurately interpret sounds and associated meanings at a volume consistent with interpersonal conversation. Regularly required to accurately perceive, distinguish and interpret information received visually and through audio; e.g., words, numbers and other data broadcasted aloud/viewed on a screen, as well as print and other media.
  • Environmental: Office environment - no substantial exposure to adverse environmental conditions.

Guild offers a pleasant work environment, competitive compensation and excellent benefits package; including medical, dental, vision, life insurance, AD&D, LTD and 401(k) with employer match.

Guild Mortgage Company is an Equal Opportunity Employer.

Targeted Salary: $143,472.00 to $195,200.00 annually

Compensation at Guild is influenced by a wide array of factors including but not limited to local and federal minimum wage requirements, education, level of experience, and applicant's geographical location.

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