Compliance Officer - Consultative Role in Financial Services

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Job #: 17597
Status: Inactive / Filled
Title: Compliance Officer - Consultative Role in Financial Services
Job Location: Saint Louis, MO
Base Compensation: $80,000 — $115,000
Total Compensation: $85,000 — $130,000
Benefits: strong package including 6% 401k match & 4+ weeks PTO
Is Employer Willing to Relocate?: Yes
Other Relocation Information: Partial
Employment Type: Full Time / Direct Hire
Job Categories: Compliance & Legal; Mortgage Banking; Retail Banking
Industries: Banking; Financial Services


Consultative compliance officer position supporting the sales function of large division of Fortune 500 Financial Services firm. They want a compliance professional that has the technical compliance experience as well as the ability to serve as business partner. Strong benefit package, including 6% 401k match as well as 4+ weeks PTO. They also offer tremendous growth opportunity because of the size of the organization.


The position functions as a trusted advisor and subject matter expert with respect to the regulatory compliance issues applicable to mortgage sales including Sales Practices, UDAAP, and Fair Lending. Routinely serves as a Compliance representative in project discussions and other business meetings, and is regularly relied upon by business management to proactively identify potential regulatory compliance risks and recommend mitigation strategies. Performs ongoing compliance advisory and monitoring, including providing answers/guidance to compliance-related questions and identifying compliance and reputational risks. Reviews and approves business policies, procedures, training, and scripting. Reviews, tracks and trends corrective action plans, IA findings, compliance review findings, complaints, and business quality monitoring to identify compliance trends and issues, and advises and escalates issues as appropriate. Keeps abreast of changes in regulatory environment and advises business management of new requirements and future trends. This role will interact frequently with senior management, sales management, and Compliance Management. The candidate must be well versed in mortgage products and programs and have the ability to drive resolution of issues as they are identified.


Bachelor's degree, at least five years' related mortgage compliance or other financial institution Compliance, Control, Risk, or Legal experience required.

Preferred Qualifications:
J.D. preferred,Certified Regulatory Compliance Manager (CRCM) or similar professional designation highly recommended


Certified Regulatory Compliance Manager

Total Years of Experience:

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