Regulatory Associate

Cantor Fitzgerald•Columbia, SC

1d•Onsite

About The Position

We are seeking a Regulatory Associate to support underwriter compliance and audit readiness. This role will be responsible for preparing questionnaires and documentation required for underwriter audits, as well as assisting with state-mandated underwriter compliance requirements.

Requirements

Experience in title insurance, escrow, regulatory compliance, or audit preparation preferred
Highly organized, detail-oriented, and able to manage multiple priorities and deadlines
Strong written and verbal communication skills
Proficiency in Microsoft Office and Adobe Acrobat
Ability to handle confidential information
Demonstrates professionalism, accountability, sound judgment, and ability to work independently and collaboratively

Responsibilities

Prepare questionnaires and supporting documentation for underwriter audits.
Assist with state-mandated regulatory and underwriter compliance requirements.
Coordinate responses to audit and examination requests.
Maintain organized compliance records, licenses, and supporting documentation.
Track regulatory filing deadlines and ensure timely submissions.
Assist with annual escrow audits and state regulatory examinations.
Review company policies and procedures for compliance with applicable regulations.
Monitor changes to state laws, regulations, and underwriter requirements.
Communicate with underwriters, auditors, and regulatory agencies as needed.
Gather transaction files, escrow records, reconciliations, and other requested materials.
Identify missing or incomplete compliance documentation and coordinate corrections.
Support license applications, renewals, and company registrations.
Maintain audit trackers and provide regular status updates to management.
Assist with drafting and updating internal compliance policies and procedures.
Help investigate and respond to compliance-related questions or concerns.
Ensure confidential company and client information is handled appropriately.
Collaborate with operations, accounting, escrow, and legal teams on compliance matters.
Perform additional regulatory and administrative duties as assigned.