Compliance Officer

Guardian Asset Management

Job Title: Compliance Officer

Department: Operations

FLSA Status: Non-Exempt

Revision Date: 10/16/2025

Position Summary

The Compliance Officer position demands a thorough understanding of legal principles, superior organizational skills, and the ability to operate independently within a fast-paced, professional environment. Primary responsibilities include supporting the company’s contract process, supporting regulatory compliance initiatives, and preparing legal responses to inquiries and requests.

Essential Functions & Responsibilities

• Review, redline, and support negotiation of commercial contracts, including NDAs, vendor agreements, and service contracts.
• Manage contract versions, edits, and revisions across all parties with corporate coordination.
• Track key contract milestones including deadlines, renewals, obligations, and deliverables.
• Maintain organized and up-to-date legal files, databases, and corporate records.
• Monitor company and affiliate compliance with applicable laws, regulations, licensing, and internal policies.
• Develop, implement, and enhance compliance procedures, internal controls, and audit processes.
• Research and resolve routine legal questions or issues, escalating as appropriate.
• Prepare internal memos, summaries, and correspondence related to legal matters.
• Coordinate with HR, Finance, Corporate Legal, & Operations on cross-functional compliance and legal initiatives.
• Serve as onsite representative for corporate transactions, external & internal audits, and due diligence reviews.
• Maintain timelines for regulatory & state reporting, including FinCEN, escrow accounting, and related data calls.
• Gather and analyze information for management decisions, regulatory filings, or industry research in title, preservation, and appraisal operations.
• Address issues related to delayed recordings, file balances, stale checks, reconciliations, policy inventory, audit findings, and risk documentation.
• Oversee policy inventory reconciliation and remittance reporting accuracy.
• Conduct internal audits for clean desk compliance, IT access logs, communications, and system usage.
• Review and update internal policies, procedures, and ALTA Best Practices documentation.
• Examine company materials (e.g. publications and advertisements) for potential legal or regulatory implications.
• Engage directly with consumers, borrowers, servicing clients, and law enforcement to resolve complaints or escalated matters.
• Represent the company in court or local administrative proceedings as directed by corporate legal counsel.
• Perform other duties and responsibilities as assigned.