Compliance Specialist - Exam Coordinator
Company: Triad Financial Service Inc.
Location: Jacksonville
Posted on: January 25, 2023
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Job Description:
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
Requirements:
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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