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Compliance Manager - Mortgage

  • Location: Mountain View, CA
  • Job Type: Direct Placement
  • Ref No: 20-01019
  • Date: February 13, 2020
  • Job title:

Cindy Lukic

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Job Description - Compliance Manager - Mortgage

Compliance Manager - Mortgage Brokering

The Mortgage Brokering Compliance Manager will report to the Head of Licensed Products Compliance for this fintech firm. They will help build and manage the mortgage brokering compliance processes while partnering closely with the Smart Money Team. If you have the passion and the vision to work with an innovative team in a fast-paced environment, we want to talk.


  • Support a fast moving, innovative team – ensuring compliance to state and federal regulation with the offerings they look to create and bring to market.
  • Work with Global Compliance, Legal and Government Affairs to research and track applicable state/federal regulations, as well as help interpret changes in regulatory environment to ensure compliance. This will often involve work with internal teams as well as outside counsel.
  • Help develop policies and implement compliance processes with Smart Money, as well as other functional and business units.
  • Aid in preparing and filing licensing applications and renewals, as well as compliance with reporting obligations.
  • Partner closely with Product Management and Development teams on new product offerings.
  • Partner closely with Marketing to train marketers on the nuances and guardrails of delivering compliant marketing in this regulated space.
  • Aid in the preparation and management of third party, government and internal audits, as well as responding to regulatory inquiries.
  • Develop and facilitate Compliance training, both formal and informal, for the Smart Money team.
  • Work with Business Development to create and oversee the process for 3rd party partner selection and ongoing oversight to ensure compliance to contractual obligations, regulation and ensure high customer satisfaction.

· Help drive the mindset that Compliance is a strategic advantage, enabling growth and customer delight.


· Bachelor's Degree with 10+ years professional experience, JD a plus but not required.

· CRCM, CMCP or other professional certifications preferred.

· 5+ years' experience in Mortgage Compliance 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 understand laws/regulations/policies and execute testing/monitoring based on those requirements.


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