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Compliance Specialist - Exam Coordinator

Company: Triad Financial Services, Inc. NMLS #1063
Location: Jacksonville
Posted on: January 26, 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 preferred
    • Minimum of 3 years of experience involving compliance exam management
    • Possess a working knowledge of consumer protection and lending related regulations
    • Encompass loan origination software experience preferred
    • NMLS State Examination System (SES) experience preferred
    • Proficiency in MS Office suite including Excel, Word and PowerPoint
    • Excellent communication, reading, writing and interpersonal skills; must be able to interact with examiners, partners and executive level management
    • Must be detail oriented and a self-starter
    • Ability to multi-task and handle numerous projects simultaneously. Proven track record of meeting regulatory deadlines
    • Project management or compliance auditing background preferred
    • Previous regulatory examination experience highly preferred PI202029014

Keywords: Triad Financial Services, Inc. NMLS #1063, Jacksonville , Compliance Specialist - Exam Coordinator, Other , Jacksonville, Florida

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