Compliance Attorney

The Compliance Attorney will oversee the company's compliance programs, ensuring strict adherence to all relevant federal, state, and local regulations governing loans and investments. This role involves advising the company on legal and regulatory issues, conducting internal audits, developing and implementing compliance policies, and providing comprehensive training to staff. The ideal candidate will have a strong understanding of financial services and lending regulations, combined with a proactive approach to risk management.

Key Responsibilities:
> Monitor and ensure compliance with federal and state regulatory requirements, including those issued by financial protection and innovation departments and real estate regulatory bodies. Maintain knowledge of applicable state laws, such as those in California and Nevada, and oversee compliance via platforms like the Nationwide Mortgage Licensing System (NMLS).
> Manage and supervise corporate governance for the company and its affiliates to ensure ongoing compliance with legal requirements and corporate governance standards.
> Develop, implement, and update compliance policies and procedures to align with changes in laws and regulations.
> Conduct regular risk assessments and internal audits to identify potential compliance issues and areas for improvement. Develop strategies to mitigate identified risks.
> Provide legal guidance to management and other departments on compliance-related matters, including new business initiatives, product development, and marketing strategies.
> Develop and deliver training programs for employees to promote awareness and understanding of compliance requirements and ensure adherence across the organization.
> Prepare and submit compliance reports to regulatory bodies and provide updates to senior management on the status of compliance programs.
> Investigate and respond to compliance-related incidents or complaints, implement corrective actions as necessary, and manage any associated regulatory reporting.
> Collaborate with legal, finance, operations, and other departments to ensure a unified approach to compliance across the organization.
> Oversee the placement, renewal, and claims management of corporate insurance policies.
> Perform other duties as assigned to support the company's legal and compliance objectives.

Requirements & Qualifications:
> Juris Doctor (JD) degree from an accredited law school.
> Minimum of 5 years of experience in compliance, preferably within the financial services, loans, or investment sectors.
> In-depth knowledge of federal and state regulations related to lending and investments, including specific state laws relevant to the company's operations (California and Nevada).
> Strong analytical, problem-solving, and decision-making abilities. Excellent communication and interpersonal skills, with the capacity to clearly explain complex legal issues to non-legal staff.
> High ethical standards and a commitment to maintaining the integrity of the company’s compliance programs.
> Ability to manage multiple priorities and work effectively under pressure.
> Amenable to work Monday – Friday either 8 AM – 12 PM OR 1 PM – 5 PM PST (US/Canada)

Preferred Qualifications:
> Active bar membership, preferably in California or Nevada.
> Experience with the development and implementation of compliance programs within a corporate setting.
> Familiarity with additional state-specific lending and investment regulations beyond California and Nevada.
> Demonstrated experience in providing training and educational programs to staff on compliance-related topics.
> Experience with risk management and mitigation strategies within the financial services sector.

Next steps:
As part of our hiring process, we kindly request you to complete a DISC personality test before your scheduled interview. This test will help us better understand your personality and ensure alignment with the requirements of the position.

Please take the test using the following link: www.123test.com/disc-personality-test/

Please submit the result of the DISC personality test and an updated copy of your RESUME to this email: beth@lawcoaching.com
Subject line: Compliance Attorney
Also, kindly answer and/or share your proficiency or years of experience with the following:
- Compliance in Financial Services and Investment Sectors
- Federal and State regulations in California and Nevada
- Are you a licensed Attorney?
- Do you have a Juris Doctor Degree?

Ensure that the resume is in PDF format.
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