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Compliance License & Exam Manager

  • Location: Mountain View, CA
  • Job Type: Direct Placement
  • Ref No: 20-01020
  • Date: February 13, 2020
  • Job title:



Darina Naumova

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Job Description - Compliance License & Exam Manager

Compliance License & Exam Manager


The Licensing and Exam Manager will support all mortgage brokering licenses as well as the regulatory examinations related to such licenses. This role will report to the Head of Licensing and Exam Management on the Compliance team and work closely with a cross-functional team including business partners. We are looking for a proactive Compliance member to drive the licensing and examination program. The ideal candidate should have experience in managing mortgage licenses, from compiling applications to submitting renewals and reporting, as well as interacting with regulators.


  • Licensing – prepare and submit mortgage licensing documents such as Applications, Reporting and Renewals.
    • Solve NMLS action items related to mortgage brokering licenses
    • Coordinate with internal teams to provide required documentation for license renewals and reporting.
    • Facilitate payment of necessary licensing fees
    • Organize and manage licensing documentation
  • Exam Management – drive regulatory examinations of mortgage brokering licenses

    • Compile requested documentation from internal stakeholders. Organize and manage examination documentation.
    • Coordinate internal stakeholders and facilitate exam.
    • Internally communicate results of examinations and ensure remediation is complete.
    • Help drive the mindset that Compliance is a strategic advantage, enabling growth and customer delight.


· Bachelor's Degree preferred with 5+ years professional experience in the mortgage space. 2+ years' experience in mortgage brokering or lending licensing preferred, including company-level licensing

· Experience with regulatory state examinations strongly preferred

· Proven experience working with cross-functional teams

· CRCM, CMCP or other professional certifications preferred.

· Knowledge of mortgage lending, including familiarity with applicable federal and state regulations, such as ECOA, FCRA, TILA, UDAP, GLBA/Privacy, OFAC, RESPA and 3rd party vendor management.

· Ability to work independently – self-starter, enthusiastic and highly motivated.

· Excellent communication, interpersonal and writing skills. Strong organizational skills and attention to detail.


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