Compliance Officer

SUMMARY The Compliance Officer provides compliance oversight and assistance to the mortgage business line to ensure adherence to governmental and self-regulatory organization rules and regulations, and internal firm policies and procedures. ESSENTIAL DUTIES AND RESPONSIBILITIES Develop, implement, and maintain a comprehensive compliance program covering all debt and equity operations Examines establishment policies, procedures, and practices to ensure compliance with laws and regulations Coordinates with legal counsel, finance, credit, asset management, and capital markets teams to ensure adherence to laws and regulations relating to new or revised regulations, products and services offerings Review and update internal policies and procedures to ensure compliance with evolving regulations and government agency and insurance company requirements Stays abreast of changes to federal and state laws and regulations affecting the management, operations, and product offerings of the company Prepares and disseminates new and updated compliance standards and procedures Arranges compliance audits, regulatory exams, required follow-up, and informs appropriate management of results Conduct periodic risk assessments, internal audits, and operational reviews Other duties as required