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 ...