About the position
Baker Tilly is a leading advisory, tax and assurance firm, providing clients with a genuine coast-to-coast and global advantage in major regions of the U.S. and in many of the world’s leading financial centers – New York, London, San Francisco, Los Angeles, Chicago and Boston. Baker Tilly Advisory Group, LP and Baker Tilly US, LLP (Baker Tilly) provide professional services through an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable laws, regulations and professional standards. Baker Tilly US, LLP is a licensed independent CPA firm that provides attest services to its clients. Baker Tilly Advisory Group, LP and its subsidiary entities provide tax and business advisory services to their clients. Baker Tilly Advisory Group, LP and its subsidiary entities are not licensed CPA firms. Baker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, are independent members of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 141 territories, with 43,000 professionals and a combined worldwide revenue of $5.2 billion. Visit bakertilly.com or join the conversation on LinkedIn, Facebook and Instagram. Please discuss the work location status with your Baker Tilly talent acquisition professional to understand the requirements for an opportunity you are exploring. Baker Tilly is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status, gender identity, sexual orientation, or any other legally protected basis, in accordance with applicable federal, state or local law.
Responsibilities
- Manage and support the pre-funding and post-closing quality control and due diligence functions
- Provide compliance support as primary liaison to monthly and 'as needed' compliance clients
- Field, research and provide responses and answers to compliance clients’ questions timely
- Participate in monthly calls with compliance clients
- Manage multiple priorities and assignments and ensure workload/projects are completed timely
- Develop a good working knowledge of mortgage compliance regulations
- Collaborate with staff and Director of Compliance on new regulations or changes to regulations
- Provide oversight of monthly/periodic compliance file review projects
- Assist in maintaining and developing compliance audit checklists
- Audit compliance files as needed
- Train compliance auditors; provide feedback on results and quality of each auditor’s work
- Review and edit compliance auditor findings on compliance audits, close audits and request/review reports
- Research state specific disclosure requirements and update the company’s internal compliance matrices
- Review marketing pieces from various clients and give feedback to clients when requested
- Review loan files for state and federal compliance requirements
- Conduct research on new laws as needed
- Assist with miscellaneous compliance projects
- Remain abreast of regulatory issues and developments; evaluate impact, collaborate with the Director of Compliance on implementation and risk mitigation efforts, communicate relevant and factual information to clients
- Participate in industry meetings, seminars, webinars and conferences which may include acting as a presenter/panelist
- Assist in the development, revision, and maintenance of compliance policies and procedures
- Perform compliance testing/monitoring reviews, in accordance with the compliance program
- Research and address regulatory compliance issues and inquiries
- Attend weekly meetings with Director of Compliance and Servicing for department workload scheduling
- Attend bi-weekly production meetings
- Assist and/or perform onsite and offsite client audits, including internal audits, BSA/AML audits, various GAP Analyses (TRID, Regulatory Compliance), CFPB Readiness, etc.
- Other duties as assigned
Requirements
- 5 years compliance experience
- CRCM preferred
- Ability to discern between minor and significant risk factors
- Must be able to read and understand various laws in the mortgage lending industry such as RESPA, TILA, ECOA and other specific laws that apply
- Excellent writing skills
- Demonstrated ability to work collaboratively with co-workers and production personnel
- Strong computer skills: Competent in MS Word and Excel, Adobe, and familiar with databases such as MS Access preferred
- Prefer 7 to 10 years mortgage lending experience
Benefits
- Flexible working hours
- Upward career trajectory
- Support for professional development
