Compliance Specialist - Exam Coordinator
Company: Triad Financial Services, Inc. NMLS #1063
Location: Jacksonville
Posted on: January 26, 2023
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 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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