Compliance Assistant

Core Values

PROVIDE our customers with the best combination of service, rates, and fees. PROMOTE sustainable careers for our employees so that they can be enriched personally and professionally. GIVE BACK to our community. These are the core values of NOVA® Home Loans in which we act on employee feedback and implement changes that will make NOVA® Home Loans a better place to work and promote a higher level of service to our clients.

The Compliance Assistant role is an entry level position to support the scope of work of the Compliance & Policy Management Department within a robust Compliance Management System (CMS). A system that as indicated by the Consumer Financial Protection Bureau (CFPB) establishes responsibilities; communicates responsibilities to each department as appropriate; ensures responsibilities are incorporated into the business processes; reviews operations to ensure duties are carried out and legal requirements are met; and recommends corrective action, and updates tools and the system, as necessary. This is a fully on-site position, based at our Corporate office in Tucson, AZ.

Evolving as a Compliance Assistant by having…

• High School Diploma or GED is required.
• Minimum two (2) years of administrative or related work experience.
• Associate degree in a business-related field preferred; or
• A combination of experience and education.
• One (1) to three (3) years’ experience within the mortgage industry is preferred.

Exciting opportunities to grow by...

• Partnering with various colleagues to aid and support with the functions of the Department:
  • Leasing: Competently using the Master Lease spreadsheet to provide relevant details and reminders as needed;
  • Licensing: Competently using the Nationwide Multistate Licensing System & Registry (NMLS) and state-specific mortgage statutes/administrative codes;
  • Marketing Compliance: Competently using the State Advertising & Marketing Compliance Matrix to provide guidance to Marketing and Production personnel regarding federal and state requirements;
  • Settlement Agent Review and Approval: Competently using the Settlement Agent Review & Approval process/policy to review and ensure all Settlement Service Agents used in NOVA®’s transactions are approved prior to issuing a wire for disbursement of funds.  
• Assist in other Department-owned processes, such as:
  • Consumer Complaint Management;
  • Examination & Change Management;
  • Incident Research, Documentation and Response;
  • Loan Originator Compensation support;
  • Local Authority a Corporate Governance compliance requirements;
  • Policy & Procedure Library maintenance;
  • Reporting & Documentation of Monthly, Quarterly, and Annual Mortgage/Regulatory reports;
  • Vendor Management/Third-Party Oversight;
• Competently using Ellie Mae’s AllRegs to conduct research related to federal regulations and state statutes/administrative codes, and agency guidelines and other topics as needed, and report on this research.
• Maintaining and updating Compliance Department and organizational policies, as needed.
• Organizing and maintaining hardcopy and electronic department files.
• Participating in Compliance Committee activities, as needed.
• Participating in compliance education, events, professional development coursework and conference opportunities, as needed.
• Respond to and provide interdepartmental customer service to other NOVA® Departments’ compliance-specific questions and requests.
• Supporting Compliance Department content on AllRegs, NOVA®net, NOVA®Hub, and other tools and resources, as needed.
• Updating spreadsheets and other task-tracking systems.
• Fostering a culture of compliance. 
• Perform other duties as assigned.

Show us your growth with...

• Ability to self-manage time on task to dedicate an earnest effort on duties assigned.
• Attention to detail, healthy sense of urgency, and high level of dedication to quality.
• Excellent organizational, planning, and analytical skills.
• Exceptional customer service with a strong service-oriented attitude.
• Must be able to maintain a high level of confidentiality and meet deadlines.
• Must be able to work well independently and as part of a team.
• Must have a demonstrated eagerness to learn and strong time-management skills.
• Must have strong interpersonal, written, and verbal communication skills.
• Strong, positive attitude and work ethic essential.
• Strong sense of ownership and accountability over tasks and responsibilities.
• Proficiency with computers is required, especially Microsoft Excel, Word, and Outlook.

Benefits Offered...

NOVA benefits to full-time employees include Employee Discount, Paid Time off, Health/Dental/Vision/Life/Disability Insurance, 401(k) with an employer match, Health Savings Account with employer contribution, and an Employee Assistance Program

NOVA® is an equal opportunity employer, substance-free workplace, and complies with the Americans with Disability Act regulations as applicable.

All applicants are considered for all positions without regard to race, religion, color, sex, gender, sexual orientation, pregnancy, age, national origin, ancestry, physical/mental disability, medical condition, military/veteran status, genetic information, marital status, ethnicity, alienage, or any other protected classification, in accordance with applicable federal, state, and local laws. Equal access to programs, services, and employment is available to all qualified persons. Those applicants requiring accommodation to complete the application and/or interview process should contact the Human Resources department at NOVA® Home Loans.