Compliance Analyst

Responsibilities

• Conduct thorough research to stay up-to-date on industry regulations, laws, and best practices. 
• Analyze internal controls and procedures to identify any gaps or weaknesses in compliance. 
• Develop and implement compliance programs and training materials for employees. 
• Monitor and audit company activities to ensure adherence to established policies and procedures. 
• Investigate and analyze potential compliance issues, recommending and implementing corrective actions. 
• Maintain comprehensive compliance documentation, including reports, policies, and procedures. 
• Collaborate with various departments across the organization to promote a culture of compliance. 
• Liaise with regulatory bodies as needed. 
• Work with legal counsel by responding to license item requests 
• Complete quarterly Mortgage Call Reports 
• Ensure California Finance Law License annual assessment invoices are remitted 
• Execute reporting requirements for HMDA annual reporting

Client Specific Tasks: 

• Provide assistance with licensing (e.g., CFL (California Finance Law) & state licensing)
• Completion of monthly loan-level reviews and reports on findings 
• Assist with the information gathering for audits/examinations 
• Execute on Home Mortgage Disclosure Act (HMDA) and licensing agencies reporting 
• Complete Mortgage Call Report (MCR) filings 
• Complete California Finance Law(CFL) filings 
• Complete Department Real Estate (DRE) filings 
• Manage the organization of legal documents 

Job Requirements

• Bachelor's degree in Business Administration, Finance, Law, or a related field (preferred). 
• At least 5 years of experience in compliance or a related field. 
• Strong understanding of research methodologies and data analysis. 
• Excellent written and verbal communication skills. 
• Ability to prioritize multiple tasks and work effectively in a fast-paced environment. 
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint). 
• Familiarity with compliance software (a plus). Experience in use of QuickBooks and other business, payroll, & accounting software an advantage. 
• Familiarity with office management procedures and accounting principles 
• Ability to work independently with high level of Accuracy and detail 
• Has proactive approach to business and technology 
• Excellent written and verbal English communication and interpersonal skills 
• Has strong attention to details and is diligent towards work 
• Bachelor’s degree in accounting, finance or related field
• Amenable to report onsite to our Cubao/Ortigas office
• Can start ASAP