Compliance Senior Specialist

The Compliance Specialist executes the day-to-day tactical operations of the compliance program, ensuring daily mortgage operations adhere to state and federal lending laws. Reporting to the Compliance Manager, this role actively processes regulatory filings, monitors licensing tasks, performs complaint triage, and gathers documentation for audits and examinations. The Compliance Specialist serves as the primary hands-on resource for initial compliance inquiries and routine monitoring tasks.

Core Responsibilities

Licensing & Exam Logistics

• Process NMLS onboarding transfers, sponsorship requests, and Form MU4 filings for newly hired Loan Officers.
• Audit LO profiles during onboarding for state testing, continuing education, and Temporary Authority to Operate (TAO) compliance.
• Coordinate annual NMLS license renewal documentation for the company and individual originators.  
• Prepare exam document request lists (DRLs) and track post-examination remediation items. 

Complaint Administration & Tracking

• Monitor and triage the compliance department mailbox daily, resolving standard inquiries or escalating complex items.  
• Execute intake for borrower complaints, log details in the Compliance Management System (CMS), and gather supporting file history.  
• Draft preliminary complaint re