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Chief Compliance Officer | Mortgage

Irvine, CA

Employment Type: Full Time Career Match: MTG - Compliance Job Number: CCOLDCA2122024

Job Description

The Chief Compliance Officer is responsible for overseeing, managing, updating, and maintaining the company’s compliance management program, procedures, testing and overall protocols. Reviews and evaluates the compliance processes and procedures of the company in an independent manner, collaborating with the company’s executives and the Legal department, and driving change. Provides leadership, direction, and integration of compliance activities to fulfill the needs of the Company and ensures adherence to applicable state and federal regulations. Interfaces with senior leaders and government agency officials in the representation and development of various strategic compliance programs, policies, services, and initiatives.


Job Requirements


  • Provides assistance, leadership and guidance on strategic compliance monitoring systems and initiatives to applicable Mortgage Operations, Sales, Servicing, and Legal teams.
  • Participates and leads Company’s strategic compliance planning process, to include short- and long- term strategic plan development, review, approval, implementation, and evaluation.
  • Fosters and maintains strong professional relationships with clients, stakeholders, and fellow Executives cultivating a collaborative and positive work environment.
  • Inspire adherence to guidelines by highlighting the collective benefits, emphasizing the important of each team member’s role in achieving shared objectives.
  • Provides expert guidance, collaboration, and support to the implementation process for key compliance strategies, initiatives, and action plans impacting the Company.
  • Drafts policies and procedures to address federal and state regulatory requirements and how the Company complies with applicable laws and policies.
  • Plans, develops, monitors, revises, and implements compliance initiatives in response to changes in the law; consults with various representatives, both internal and external, as necessary, to ensure compliance program effectiveness.
  • Participates and collaborates in the development of compliance educational and training programs for corporate and production field team members.
  • Oversees mortgage compliance reviews in collaboration with all departments within the Company.
  • Monitors third-party vendor systems to ensure compliance requirements are continually met.
  • Supports the consumer and regulatory complaints functions in the resolution of complaints, including coordinating responses with the appropriate parties within Company and regulatory agencies, and identifies root cause of issues and drives remediation.
  • Interacts with Company senior management, associates and/or government agency officials, to represent and promote the development of strategic compliance programs to further awareness of Company team members.
  • Develops an ongoing campaign to heighten awareness of the various compliance programs, disseminates compliance information and collects employee feedback as appropriate.
  • Leads the development of internal reviews to assess Company’s compliance with applicable laws and regulations.
  • Directs the assessment of targeted compliance issues, investigations, or potential problems.


  • Bachelor’s degree with commensurate work experience in Compliance leadership.
  • Twelve (12) + years of recent experience directly related to the duties and responsibilities specified demonstrating increasing responsibility with significant oversight and strong people leadership experience within a compliance department of a financial institution or mortgage company.
  • Proven ability to motivate and inspire teams, fostering a positive work culture and driving high levels of engagement to achieve organizational goals.
  • Must have a hands-on working knowledge of mortgage and licensing regulation including but not limited to: Dodd/Frank, RESPA, TILA, Regulations X and Z, FCRA, Fair Lending, and other federal and state regulatory requirements.
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