VP Servicing Compliance
Principal Duties
- Develop, implement, and maintain an enterprise-wide compliance testing and monitoring program as well as any associated policies and procedures, to ensure compliance with applicable requirements, such as reporting, record-keeping, and customer due diligence requirements.
- Develop and execute the annual compliance testing plan based on regulator risk assessments and business priorities.
- Lead a team of compliance testing professionals in conducting independent reviews of mortgage servicing processes.
- Ensure testing activities are conducted in accordance with internal standards, regulatory expectations, and industry best practices.
- Develop and maintain testing workpapers, methodologies, and documentation to support findings and demonstrate adequacy of testing scope and depth.
- Review and validate management action plans and track remediation of compliance issues.
- Coordinate with other lines of defense (e.g. Internal Audit, Risk, Legal) and external examiners as necessary.
- Regularly report compliance testing results, trends, and emerging risks to senior and executive leadership.
- Stay current on changes in laws, regulations, and investor guidelines affecting mortgage servicing, and adjust test plans accordingly.
- Provide strategic leadership and coaching to the compliance testing team.
- Review and provide guidance to strengthen compliance-related policies, procedures, system controls, and training programs.
- Oversee development of corrective action plans in collaboration with the business to address potential compliance risk.
- Perform personnel managerial duties such as goal setting and tracking, performance monitoring and coaching, ensuring associate engagement, and other typical managerial duties.
- Performs related duties as assigned by management.
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