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Job Details

Senior Compliance Specialist

Company name

5 yrs required

Exton, PA, United States

Employment Type


Posted on
Nov 25, 2021


  • The Senior Compliance Specialist is responsible for ensuring clients are in adherence with Federal consumer compliance regulations, including HMDA, TRID, RESPA, Flood, FACTA/FCRA, Deposit regulations and others as applicable. Duties include compiling appropriate information for reporting purposes and providing direction to client for regulations compliance. The Senior Compliance Specialist provides subject matter experience and guidance to clients and other team members, identify inconsistencies and review procedures to ensure loan data is accurately collected and reported.



    Success Factors



    • Perform regulatory compliance audits; plan, schedule and conduct each audit
    • Conduct risk assessments; develop and implement annual risk-based compliance audit plans, including scope determination, audit planning memos and reports
    • Conduct analysis of audit findings and prepare audit documentation
    • Review compliance related policies and procedures for compliance with regulatory requirements and sound practices
    • Prepare detailed reports of violations of federal and/or state regulations and present findings to Senior Management
    • Make recommendations for corrective actions and monitor implementation of corrective plan
    • Escalate and discuss any changes to scope of audits performed, significant findings noted as the audit progresses and conclusions/recommendations of finalized audit
    • Maintain appropriate records and provide assigned reports
    • Monitor and report on bank compliance with all applicable federal regulations
    • Participate in the development, review and delivery of training materials to clients
    • Ensure client deliverables and timetables are met within expectations
    • Develop an understanding of other firm services and application in relationship to client needs
    • Keep up to date with local and national business and economic issues
    • Participate in continuous learning activities and active research to improve and develop technical expertise; apply learned concepts
    • Collaborate with Compliance Leader to identify opportunities for efficiencies and proactive engagement management

    People Management/Relationships

    • Take initiative to be a team player (proactively seek opportunities to help others)
    • Treat everyone with respect
    • Develop loyalty and trust within the team
    • Successfully adapt to different personalities and working styles
    • Proactively and effectively communicate information regarding status issues to team members
    • Hold self accountable for assigned work; seek continuous feedback to learn and develop in role; open to new ideas and suggestions

    Required Skills

    • Excellent organization skills and strong attention to detail
    • Multitasker with the ability to prioritize work accordingly
    • Excellent verbal and written communication skills with strong client service focus
    • Strong analytical and interpersonal skills
    • Ability to work autonomously under the pressure of tight deadlines and multiple priorities


    Education, Experience and Certifications

    • High School diploma or equivalent (GED) required
    • 5+ years’ experience in risk management or bank compliance role
    • Hands on experience with reviewing residential mortgage loans for conformance with Federal consumer compliance regulations, including RESPA, TILA, TRID, HMDA, ECOA, UDAAP etc.
    • Demonstrated experience in reviewing commercial loan files and knowledge of bank procedures and federal deposit regulations
    • Prior experience as a Compliance Officer preferred
    • Working knowledge of Microsoft Office suite products and technologically-savvy
    • Self-motivated and willingness to enhance compliance knowledge
    • Excellent attention to detail with the ability to manage multiple projects

    Essential Functions

    • Must be able to remain in a stationary position as needed
    • The person in this position needs to occasionally move about inside the office and at client offices to access file cabinets, office machinery etc.
    • Constantly operates a computer and other office productivity machinery, such as a calculator, copy machine, and computer printer
    • Ability to communicate in a professional manner and exchange information with internal and external actors as needed
    • Ability to lift/carry up to 20 pounds
    • Ability to work outside of normal business hours and weekends as needed
    • Ability to travel to local and non-local clients as needed, overnight travel may be required
    • This job description is subject to change at any time and employee will be given additional responsibilities as assigned

Company info


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