Description

At this time, a Compliance Specialist is needed to assist the Legal and Compliance Team by filing forms, communicating relevant and recent compliance obligations to internal departments, and helping to ensure the company’s compliance with applicable federal and state regulations. Works under the direct supervision of the Director of Legal and Compliance.

*Hybrid Opportunity following training* Required to work at the office 2 days per week at our Lake Forest, CA location.

*Ideal candidate must have an Associate degree and/or 1-2 years of experience working within an Administrative or Legal Assistant role, and preferably within regulatory compliance. 

* Applicants must have compliance/state regulatory/filing experience.

Schedule: Monday - Friday 8:00 am - 5:00 pm.

Training Schedule: The first two weeks will be in the Lake Forest, CA office 5 days per week.

Compensation: $26.50 - $30.00 commensurate with experience. Comprehensive Benefits Package!

Essential Functions:

• Assist with the preparation and submission of filings necessary to maintain compliance with the company’s federal and state regulatory compliance obligations, including company licensing in all appropriate jurisdictions.
• Prepare and submit filings necessary for approval of consumer forms by state regulators and lenders, assist with resolving objections, and distribute information regarding the appropriate use of consumer forms to other internal departments.
• Maintain knowledge and understanding of federal and state regulations, commonly accepted industry practices relating to the company’s products and services, and lender requirements and approval processes.
• Serve as a secondary point of contact for incoming regulatory compliance inquiries and issues, escalating such inquiries and issues within the legal and compliance department as necessary to achieve optimal resolution.
• Assist with organization and issuance of contractual liability insurance policies by insurers as appropriate.
• Assist in competitive product reviews and new product development, and communicate changes in regulations and industry practices affecting existing products.
• Other duties as assigned.

Requirements

Education and Qualification Requirements:

• Associate degree preferred. 1-2 years of experience in an administrative position/legal assistant role, preferably within regulatory compliance
• High proficiency in Microsoft Office Suite including Outlook, Word, and Excel.
• Fluency and integrity with handling of confidential and sensitive information.
• Strong time-management and organizational skills with the ability to multi-task, consistently meet deadlines, and prioritize effectively.
• Ability to adapt quickly to change and deliver quality results in a timely manner.
• Work effectively in a remote team environment.

Preferred Requirements:

• Ability to assist the team with workflow, dispatch, and communication.
• Exceptional communication skills both verbal and written.
• Demonstrate ability to use tact and diplomacy when dealing with internal and external parties.
• Well organized.
• Self-motivated.
• Excellent critical thinking and problem-solving skills.
• Notary Public preferred.

Work Environment and Physical Requirements:

• Vision acuity required to include close vision, color vision, distant vision, and the ability to adjust focus.
• Ability to grasp objects such a telephone or computer mouse, finger dexterity to use a keyboard, calculator, and standard office equipment
• Ability to walk, stand, reach with hands and arms; stoop kneel, crouch, and lift up to 25 pounds.
• Ability to frequently sit for long periods of time.
• Ability to hear and talk, both in person and by phone.
• Ability to spend extended hours in front of a computer screen