Compliance Officer: Regulatory Examinations amp Licensing

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Compliance Officer: Regulatory Examinations & Licensing
Duties: Entirely manage State regulatory examinations, including receiving notifications of exams, responding to initial examination requests for materials, responding to subsequent requests for materials and meetings, and preparing management responses to examinations. Post examination, ensuring findings and recommendations are addressed appropriately. Help obtain and maintain the federal and state registrations and licenses. Assist in managing the reporting requirements via NMLS or other State-specific methods for the various monthly, quarterly, and annual reports due to States. Participate in Regulatory Assurance second line compliance monitoring and testing. Assist in implementing regulatory changes that impact. Project manage and engage relevant stakeholders to compile information for Examinations, Licensing, and applicable regulatory audits. Prioritize tasks for the Department and schedule meetings, maintain minutes of meetings and create task lists. Working with internal and external counsel and compliance management as it relates to analysis of business licenses.

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