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Manager of Legal Compliance and Licensing

CoreTechs Direct Pomona, CA Full Time
LOCATION
Pomona, CA
POSTED
36 days ago

Full Job Description

Manager of Legal Compliance and Licensing

POSITION OVERVIEW:

  • The Manager of Legal Compliance and Licensing is responsible for the management, coordination, preparation, and completion of all government, regulatory and compliance documents for the organization, in order to comply with the requirements of the AMC and other regulatory compliance programs. The Manager of Legal Compliance and Licensing will support the development and implementation of regulatory compliance processes under the legal function and under the direction of General Counsel.


ESSENTIAL JOB DUTIES AND RESPONSIBILITIES:

  • Create, implement, and manage the company-wide regulatory compliance program
  • Assist in the development of a tracking system for regulatory updates with special attention to state specific tracking, and will be responsible for the maintenance of the tracking system
  • Assist in the development and implementation of policies and procedures and the corresponding business documents consistent with the applicable federal and state laws
  • Monitor federal and state laws and regulations and possess the ability to apply the regulatory requirements to business practices and systems, and identify and assess the compliance risk
  • Provide all departments with regulatory updates
  • Manage and provide on-going guidance, mentoring, and feedback to the compliance team
  • Manage the program process for compliance with various federal and state laws including government contract regulations and the contract regulators
  • Compliance training materials and conduct training classes
  • Examine federal and state regulatory compliance statutes, regulations, and laws, and analyze their impact on existing policies and business practices
  • Collaborate with Operations and Quality Control departments to provide support in regulatory compliance and the implementation of best practices in their departments.
  • Manage the Legal Department legal operations function including the legal billing program, team employee management, coaching, annual performance reviews, project management, and relationship manager with outside third-party technology companies and law firms.
  • Assist the General Counsel with the processing of Legal matters that require the attention of the Legal Department.
  • Managing and oversee the Licensing Program for multiple companies including but not limited to an appraisal company, mortgage lender, real estate company and title company. The company filings include Secretary of State filings, Producer and Entity title licenses, Appraisal Management Company licensing, Appraiser licensing, Mortgage Loan Originator and Mortgage Broker and Mortgage Lender Entity licensing filings and surety bonds required for licensing.
  • Manage governmental inquiries from appraisal, lending, and title regulators.
  • Provide regulatory support in insurance, CCPA, Cyber security, and consumer privacy.


QUALIFICATIONS AND SKILLS:
QUALIFICATION:
Required:

  • Bachelor’s Degree
  • Strong project management skills
  • Excellent verbal and written communication skills
  • Detail-oriented and organized

Preferred:

  • Advanced Degree
  • Juris Doctor Degree Preferred

EXPERIENCE:
Required:

  • 10 + years’ regulatory compliance experience with an appraisal management company, mortgage company or title company. Training and presentation experience preferred
  • Proficient in MS Word, EXCEL, and PowerPoint

Preferred:

  • Legal Experience

PRIOR KNOWLEDGE:
Required:

  • Minimum 10 years of regulatory compliance experience. A certain degree of creativity is required

Preferred:

  • Industry licenses (i.e., Appraiser, Mortgage Loan Originator, Title Producer, or Real Estate Sales License preferred.

SKILLS:

  • Strong leadership skills
  • Excellent delegation skills
  • Judgment and decision-making skills
  • Experience in implementing compliance programs
  • Ability to manage and prioritize various projects
  • Ability to take initiative
  • Excellent communication, networking and relationship building skills


req21-01086

  • Create, implement, and manage the company-wide regulatory compliance program
  • Assist in the development of a tracking system for regulatory updates with special attention to state specific tracking, and will be responsible for the maintenance of the tracking system
  • Assist in the development and implementation of policies and procedures and the corresponding business documents consistent with the applicable federal and state laws
  • Monitor federal and state laws and regulations and possess the ability to apply the regulatory requirements to business practices and systems, and identify and assess the compliance risk
  • Provide all departments with regulatory updates
  • Manage and provide on-going guidance, mentoring, and feedback to the compliance team
  • Manage the program process for compliance with various federal and state laws including government contract regulations and the contract regulators
  • Compliance training materials and conduct training classes
  • Examine federal and state regulatory compliance statutes, regulations, and laws, and analyze their impact on existing policies and business practices
  • Collaborate with Operations and Quality Control departments to provide support in regulatory compliance and the implementation of best practices in their departments.
  • Manage the Legal Department legal operations function including the legal billing program, team employee management, coaching, annual performance reviews, project management, and relationship manager with outside third-party technology companies and law firms.
  • Assist the General Counsel with the processing of Legal matters that require the attention of the Legal Department.
  • Managing and oversee the Licensing Program for multiple companies including but not limited to an appraisal company, mortgage lender, real estate company and title company. The company filings include Secretary of State filings, Producer and Entity title licenses, Appraisal Management Company licensing, Appraiser licensing, Mortgage Loan Originator and Mortgage Broker and Mortgage Lender Entity licensing filings and surety bonds required for licensing. 
  • Manage governmental inquiries from appraisal, lending, and title regulators.
  • Provide regulatory support in insurance, CCPA, Cyber security, and consumer privacy.