Overview

Job Description:

Our client, a global financial services firm, is seeking a Branch Review Team Specialist located in New York City or Boston to perform consumer compliance assessments related to Wealth Management Financial Advisor residential mortgage lending referral activities to the company’s Private Bank, National Association.

Responsibilities: 

  • Deliver pre-assessment questionnaires and review results prior to performing on-site assessments
  • Perform on-site assessments across a pre-determined region of the United States of America  specific to Financial Advisor residential mortgage-related activities, ascertaining adherence to and compliance with consumer protection laws and regulations that apply to residential mortgage lending
  • Prepare and report results of assessment activities
  • Assist in the identification and remediation of mortgage related compliance risks found during the assessment process.
  • Track and monitor risk indicators and timely escalation of emerging issues to senior management.
  • Perform additional tasks as required.

Qualifications:

  • Bachelor’s Degree
  • At least 5 years of experience in mortgage banking, consumer finance or retail banking compliance or legal department
  • Strong knowledge of consumer protection laws and regulations that apply to residential mortgage lending
  • Knowledge of assessment methodology and execution
  • Adept at performing assessments and reporting results

Skills desired:

  • PMP desired
  • Excellent written and verbal communication skills
  • Exceptional reasoning and analytical skills
  • Robust time and organizational management techniques
  • Ability to work independently and with team members and partners across the organization to complete deliverables

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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