Compliance Supervisor

Anywhere•United States,

About The Position

The Supervisor, Audit & Compliance oversees a centralized national team supporting audit readiness, regulatory compliance, risk management, operational controls, licensing administration, and customer issue resolution within the Post Closing department. The role serves as a liaison among Operations, Underwriting, State Agencies, Compliance, Legal, and external business partners to support adherence to company policies, regulatory requirements, and industry standards. The Supervisor leads work involving audits, regulatory inquiries, claims and subpoenas, licensing administration, fraud prevention, and operational exception management. The role also drives process improvements, maintains standard operating procedures, and supports consistent execution of compliance responsibilities across states and business units. The position supervises and develops team members; establishes performance expectations and service standards; and conducts coaching, performance reviews, and career development planning. It partners with brand leadership and stakeholders to identify risks and control gaps, recommend remediation, promote adoption of new processes and technology, and facilitate change across corporate support functions and brand operations. Responsibilities include coordinating internal and external audits; overseeing licensing, notary commissions, regulatory filings, and agency responses; supervising FinCEN, OFAC, FIRPTA, and fraud-prevention processes; coordinating claims, subpoenas, legal requests, and document production; overseeing shortage tracking and other operational financial exceptions; supervising customer service and escalations; and maintaining SOPs, controls, quality assurance, reports, dashboards, and management summaries. The role is evaluated on audit performance, regulatory adherence, timely closure of investigations and escalations, operational losses and shortages, customer complaint resolution, licensing and filing accuracy, SOP maintenance and process improvement, team productivity, service levels, and cross-functional partnership effectiveness.

Requirements

At least 5 years of experience in title, escrow, settlement services, mortgage operations, compliance, audit, risk management, or a related field.
Experience working with regulatory agencies, underwriters, auditors, legal teams, and operational leaders.
Strong understanding of post-closing, title, escrow, and settlement processes.
Equivalent combination of education and industry experience may be considered.

Nice To Haves

At least 2 years of leadership or supervisory experience.
Knowledge of title insurance operations and underwriting requirements.
Knowledge of FinCEN, OFAC, FIRPTA, anti-fraud controls, and regulatory compliance standards.
Knowledge of audit management and corrective action planning.
Knowledge of licensing and notary administration.
Knowledge of trust accounting and shortage remediation processes.
Knowledge of customer complaint management and escalation resolution.

Responsibilities

Directly supervise and develop Audit & Compliance team members; establish performance expectations, service standards, and productivity goals.
Conduct coaching, performance reviews, and career development planning, and foster accountability, compliance, continuous improvement, and operational excellence.
Partner with cross-functional leadership teams to support organizational initiatives and strategic objectives.
Work with brand leadership and stakeholders to identify compliance risks, operational control gaps, and process improvement opportunities.
Recommend remediation plans and drive accountability for corrective actions, issue resolution, and audit finding remediation.
Lead adoption of new processes, technology solutions, operational controls, and regulatory requirements across business units.
Serve as a liaison between corporate support functions and brand operations to facilitate communication, change management, and implementation of initiatives.
Coordinate and manage internal and external audits, including Underwriter, State Regulatory, and operational audits.
Serve as the primary contact for audit requests, documentation gathering, issue resolution, and corrective action plans.
Monitor audit findings for timely remediation and closure, and maintain audit documentation, reporting, and compliance records.
Oversee individual and business licensing requirements across applicable jurisdictions and manage notary commission administration, renewals, and compliance monitoring.
Coordinate regulatory filings and responses, including state insurance department inquiries and TDI filings; monitor regulatory changes and communicate impacts to stakeholders.
Supervise FinCEN, OFAC, FIRPTA, fraud-prevention, and related compliance processes; ensure alerts are reviewed, escalated, tracked, and resolved appropriately.
Manage OFAC screening exceptions and investigations and oversee underwriting alert bulletin administration and distribution.
Partner with Legal, Compliance, and Risk teams on investigations and corrective actions.
Coordinate claim inquiries, subpoenas, legal requests, and document production; ensure timely, accurate, and compliant responses.
Maintain records-retention and document-retrieval processes, including off-site storage and archived file requests.
Oversee shortage tracking, collection efforts, reimbursement requests, and exception reporting; review trust shortages, operational losses, and root-cause analyses.
Manage over-limit alert investigations and escalation processes and coordinate Gibraltar payment exception reviews and resolutions.
Research and approve tax payment refund requests before issuance; support proofing and virtual closing reconciliation activities as assigned.
Supervise centralized customer service email inbox and phone support functions; oversee escalations, customer complaints, EMD disputes, and complex issue resolution.
Ensure customer service levels and response standards are consistently achieved.
Develop, maintain, and update departmental Standard Operating Procedures (SOPs).
Identify opportunities for process improvement, automation, and risk reduction; establish controls and quality assurance measures to ensure policy compliance.
Coordinate reports, dashboards, and management summaries to monitor performance and compliance trends.