Compliance Analyst

Overview

Responsibilities

• Monitor compliance-related filings and registration requirements, identify upcoming obligations, and coordinate with internal stakeholders to ensure timely and accurate regulatory submissions.
• Manage licensing and registration requirements for company professionals, including tracking renewals, maintaining records, and coordinating filings with regulatory agencies.
• Maintain compliance records, documentation, reporting, and administrative processes to support regulatory obligations and audit readiness.
• Coordinate document preservation efforts, regulatory inquiries, and other compliance-related matters in partnership with internal stakeholders and external counsel, as needed.
• Assist with compliance monitoring, risk assessments, and special projects to enhance the organization’s compliance management framework.
• Monitor regulatory developments and industry requirements impacting commercial real estate lending, servicing, investment sales, and property management activities, and assist with implementation of compliance-related changes.
• Conduct research of regulatory requirements and industry guidance to assess potential compliance impacts and support business decision-making.
• Support compliance initiatives related to agency lending programs, broker licensing requirements, and other applicable regulatory frameworks.

Qualifications

• Minimum of 3 years of experience in compliance, risk management, regulatory affairs, audit, or a related function, preferably within the commercial real estate, financial services, lending or mortgage industries.
• Experience supporting compliance, regulatory, governance, or legal initiatives within a highly regulated environment.
• Proficient in the use of Microsoft Office (Word, Excel, Outlook) and Adobe Acrobat.
• Strong decision-making capabilities, a high level of independent judgment, and understanding of the organization and its business needs.
• Demonstrated ability to coordinate multiple priorities, manage deadlines and collaborate effectively with internal and external stakeholders.
• Highly collaborative in nature.
• Ability to take ownership of tasks and projects while problem-solving and prioritizing workflow.
• Strong communication and interpersonal skills to support a cooperative approach.

Preferred Qualifications

• Bachelor’s degree in Business Administration, Finance, Accounting, Communications, paralegal studies, legal studies, or a related field.
• Paralegal certification.
• General familiarity with loan documents, including mortgages, loan agreements, promissory notes, servicing agreements, and the ancillary documents related to such transactions.
• Knowledge of federal rules and regulations pertaining to privacy, lending, loan servicing, etc.