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Job Details

Documentation and Compliance Specialist

Company name
eCapital, LLC

Carlsbad, CA

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Documentation and Compliance Specialist

is responsible for performing due diligence on qualified prospects, and determines the eligibility of meeting eCapital’s underwriting requirements. Documentation and Compliance specialists also provide curative resolutions to any encumbrances against a prospects receivables. This professional maintains communication with operations staff, sales and clients to ensure timely onboarding and funding of new accounts as well as ongoing monitoring of boarded accounts. eCapital takes pride in boarding deals that comply with all internal underwriting guidelines prior to funding.


List of responsibilities and essentials functions, which must be completed in achieving the objectives of the position:

•    Search public records databases, and reviews findings to ensure that prospects have no outstanding liens, judgments or bankruptcies that would impact eCapital’s UCC-1 lien position

•    Utilize critical thinking skills to provide risk based decisions on the eligibility of a prospect.

•    Resolve any issues that encumber prospects receivables in a timeframe that meets or exceeds service level agreements.

•    Reviews the legal contract and supporting documentation to confirm paperwork has been completed, and executed properly.

•    Communicates issues to the Welcome Team as well as collaborates on solutions, to ensure a positive, and timely onboarding experience for prospects.

•    Sets up and maintains accurate client records in Salesforce CRM and other databases.

•    Provides ongoing monitoring of the client’s legal entity.

•    Prepares any miscellaneous pre-funding or post-funding documentation to be executed by client.

•    Reviews post-funding compliance events, and collaborates with operations department to ensure client’s good standing with, insurance, state and federal agencies.

Skills and Abilities

•    Use critical thinking and problem solving skills to ensure a positive onboarding experience for prospects

•    Perform quality work within deadlines with or without direct supervision

•    Work effectively as a team contributor on all assignments

•    Work independently while understanding the necessity for communicating and coordinating work efforts with other employees and managers

•    Ability to work in a fast paced, team-oriented environment.

•    Excellent organizational skills, capable of handling confidential data and multiple priorities.

•    Background of problems solving and process innovation

•    Ability to assess overall risk as a totality of individual risk factors

•    A strong sense of ownership and responsibility

•    Drive results through leadership, people, communication and influence

•    Comfortable with change, ambiguity, debate, conflict and informed risk taking

•    Multi-tasker who can manage and prioritize multiple streams of work concurrently

•    Willingness to make decisions, while ensuring buy in from stakeholders.

•    Strong relationship building skills

•    Excellent written and verbal communication skills

•    Excellent people skills with client-focused attitude

•    High accuracy in work, attention to detail


List of material minimum educational and experience qualifications, required proficiencies with specialized knowledge, computer proficiencies, required certifications, etc.:

•    2 years’ experience with legal documentation, preferably in a commercial lending environment.

•    Working knowledge of Microsoft Word & Excel

•    Experience working with CRM software.

•    Bachelor’s Degree in Business Administration or related discipline preferred

Company info

eCapital, LLC

Company Profile

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