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Compliance Specialist - Exam Coordinator

Company: Triad Financial Service Inc.
Location: Jacksonville
Posted on: January 25, 2023

Job Description:

Manage and oversee the timely completion of external reviews, exams, and audits from state and federal regulators and investor partners.Coordinate and manage external exams, reviews and audits including reviewing information requests, requesting and gathering information across multiple business units, and reviewing and organizing provided materials prior to final submission.Ensure all exam deadlines throughout the exam lifecycle are adhered to and provide status updates to CCO and examiner.Respond in writing or verbally to additional exam requests.Draft formal responses to the Report of Examination (ROE) and coordinate with business units and CCO on company's compliance position.Provide guidance on remediation of compliance findings, create action plans and follow-up to ensure findings are remediated.Ensure NMLS State Examination System (SES) QuickIR standard information request responses are completed and stored in the SES to ensure consistent and efficient exam responses.Maintain documentation on exam findings and responses provided.Compile reports for management and BOD related to exams and findings

Bachelor's degree required - finance, accounting, economics, law or business degree preferredMinimum of 3 years of experience involving compliance exam management Possess a working knowledge of consumer protection and lending related regulationsEncompass loan origination software experience preferredNMLS State Examination System (SES) experience preferredProficiency in MS Office suite including Excel, Word and PowerPointExcellent communication, reading, writing and interpersonal skills; must be able to interact with examiners, partners and executive level managementMust be detail oriented and a self-starterAbility to multi-task and handle numerous projects simultaneously. Proven track record of meeting regulatory deadlines Project management or compliance auditing background preferredPrevious regulatory examination experience highly preferredPI202030282

Keywords: Triad Financial Service Inc., Jacksonville , Compliance Specialist - Exam Coordinator, Other , Jacksonville, Florida

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