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Job: Compliance And QC Manager

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Title Compliance And QC Manager
Categories Compliance
Salary TBD
State DC
Job Information

The Compliance Manager will support the Chief Compliance Officer, the Compliance Team, and all Apex employees to ensure that the company maintains compliance with state and federal mortgage lending requirements.  Broad responsibilities include: monthly review of HMDA reporting and required corrections; complete and monitor Pre-Funding reviews including issuing of reports and resolving any issues prior to loan closing; coordinate Post-Closing Quality Control; assist with NMLS licensing functions; assist with ongoing vendor management program.


The Compliance Manager will also provide any additional support as needed to include, but not limited, to the following responsibilities:


  1. Perform Pre-Funding audits in accordance with investor and agency guidelines; report findings to underwriting and processing managers; issue monthly report of findings with recommendation of trends and steps for process improvement or training, as required.
  2. Coordinate Pre and Post-Closing Quality Control function with QC vendor; obtain responses from department manager in order to respond to monthly findings.
  3. Review monthly reports for HMDA reporting to ensure data integrity.
  4. Assist with vendor management program on an ongoing basis.
  5. Monitor state licensing of mortgage loan originators and assist with new applications and renewals.
  6. Assist CCO with monitoring, updating and implementing all company policies and processes.
  7. Assist with review and maintenance of all compliance policies.
  8. Provide support to all Apex staff.
  9. Identify and resolve problems and make recommendations for system and process enhancements.
  10. Assist Post-Closing Manager with clearing investor conditions.
  11. Assist CCO with state licensing audits.
  12. Manage company’s continuing education and annual compliance training requirements.
  13. Gain proficiency in Encompass (LOS) in order to maintain compliance functionality and enhance other workflow processes.

Preferred Skills

  1. College BA/BS Degree preferred
  2. Seven years’ work history in mortgage industry preferable with experience in, or in depth knowledge of, processing, compliance, underwriting, closing, and quality control functions.
  3. Excellent organization, multi-tasking and professional communication skills.
  4. Ability to prioritize and communicate effectively and efficiently with a sense of urgency.
  5. Knowledge of Microsoft WORD and EXCEL
  6. Accuracy and strict attention to detail a must.

Ability to work in a cross-functional team environment.

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