Compliance, Employee Services, Associate, Salt Lake City
Responsibilities
- Interpret lending laws and regulations
- Aid in license applications, renewals, amendments, and surrenders
- Create and coordinate regulatory reports and filings to state and federal regulators
- Analyze and reconcile large data sets to ensure data accuracy and reporting
- Advise internal stakeholders on licensing requirements
- Draft and maintain relevant policies and procedures
- Identify opportunities to improve processes, controls, and reporting
- Liaise with Legal, Divisional Compliance, and Business teams on reporting obligations
- Manage regulatory examinations
- Contribute to other projects and assignments
Qualifications
- 2+ years of experience in Compliance, Licensing, Regulatory Reporting, Legal, Risk Management, Audit, Financial Services Operations, or a related field
- Familiarity with mortgage and consumer lending products or the NMLS registration process is a plus
- Strong analytical, organizational, problem-solving, and project management skills
- Detailed-oriented with a strong commitment to excellence
- Ability to work independently and manage multiple deadlines and priorities
- Excellent verbal and written communication skills
- Experience analyzing and reconciling large data sets to ensure data accuracy and reporting
- Proficiency in Microsoft Excel, Word, PowerPoint, and other data software such as ALteryx
About the Role
The role involves working closely with business teams, Legal, Divisional Compliance, and other members of GCES to ensure the accuracy of the firm's licensing obligations. Responsibilities include interpreting lending laws and regulations, assisting with license applications, renewals, amendments, and surrenders, preparing and coordinating regulatory reports and filings, and advising internal stakeholders on licensing requirements.
Global Compliance Employee Services (GCES)
GCES oversees employee-related compliance matters such as licensing and registrations, employee disclosures, review and approval of employees outside brokerage accounts, private investments, outside interests, and political contributions, and the pre-clearance process for employees' personal trading activities. The Licensing Compliance Team focuses on maintaining and monitoring U.S. mortgage, consumer lending, and commercial lending licenses.
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