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Compliance Resolution Specialist

Company name
Guild Mortgage Company

San Diego, CA

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Guild Mortgage Company, closing loans and opening doors since 1960. As a mortgage banking firm we are dedicated to serving the home owner/buyer. Our goal is to provide affordable home financing for our customers, utilizing the best terms available while providing a level of professionalism and service unsurpassed in the lending industry. Position Summary The Compliance Resolution Specialist plays an important role in the organization by performing a number of activities related to the companys Compliance functions. This role is primarily responsible for, under moderate to intermittent supervision, for ensuring escalated complaints are resolved timely, efficiently, accurately, and in a professional manner. The Compliance Resolution Specialist will coordinate with Guild employees and third parties to ensure circumstances related to complaints are researched and analyzed, and appropriate action is taken by the Company. This position will also be responsible for ensuring monthly and quarterly reports related to compliant resolution are accurately maintained. In addition, this role will assist the Regulatory Compliance Manager with ensuring the Servicing and Correspondent Departments are supported and compliant with applicable federal and state regulations. Essential Functions * Research and analyze circumstances surrounding customer complaints received; identify issues through self-analysis and notify Management of issues that present risk to the business. * Coordinate with Guild employees and third parties to ensure circumstances related to complaints are researched and analyzed; gather information from the field, and work to understand the facts surrounding each complaint and survey response. * Provide response to internal customers regarding approvals within 24 48 hours for marketing material requests; if material(s) are non-compliant, initiate alternative solutions that meet compliant guidelines. * Review all advertisements within 24-48 hours in accordance with applicable compliant guidelines. * Under the supervision and guidance of management, respond to complaints initiated by customer or satisfaction survey. Effectively communicate with customers on the phone as needed. * Interpret company policies and regulatory requirements to determine if further company action is needed to address identified issue(s). Recommend long term resolution to Management to ensure indentified continuous issues are addressed. * Follow up on outstanding issues to ensure resolution, both as it applies to the individual complaint and to company policy, if applicable. * Maintain tracking system to monitor all complaints and due dates, as well as complaint trends and resolution. * Apply analysis to determine whether updated and/or new regulations are applicable to the department; if so, determine whether any internal policies and procedures must be updated to incorporate new regulations. * Coordinate with the Regulatory Compliance Manager to ensure filing dates are met for all legal matters. Track and monitor legal matters and assist in the preparing of monthly and quarterly reports that detail the status of new and closed cases. * Conduct research via proprietary systems, subscriber databases, and internet resources to resolve issues and verify compliance with regulations. * Prepare and verify that Company is maintaining complete compliant files, including supporting documentation. * Identify and stay current on changes in industry regulations that impact work product. Ensure internal systems are updated as regulations change. * Provide regulatory and compliance support to Business Units, primarily focusing on Correspondent, Financial Institution Services, and Servicing. Work with the Regulatory Compliance Manager to implement necessary changes based on regulatory changes and requirements. * Track, address and process security incidents to ensure compliance and due diligence was executed for potential data breaches. * Gather appropriate documents for Qualified Written Responses from business units in order to ensure RESPA compliance. * Process debt validation requests by conducting research, communication responses and documenting the information. * Research and determine how to process credit inquiry questions received from vendor. Qualifications * Bachelors Degree or college courses/technical training related to Business, Finance, Legal or related field, along with a minimum of 3 years of related work experience required. * Knowledge of overall mortgage lending process. Two years prior mortgage industry experience preferred. * Excellent verbal and written communication skills. Very strong research skills. * Sound judgment, ability to think critically. Ability to analyze facts and data to determine issue and resolution. * Work independently in a fast-paced environment to complete work following procedures. * Strong detail orientation and highly organized. * Manage multiple priorities and deadlines; strong sense of urgency and responsiveness. * Prior experience using PDF/Adobe programs and Microsoft Suite. Advanced proficiency in Microsoft Excel. * Basic math skills. * Comfortable in a paperless environment. Supervision * Depending on experience, moderate supervision of work * Depending on experience, low to moderate independent judgment and discretion used in decision-making * Escalates issues that fall outside experience * Uses sound judgment in executing core job responsibilities * Travel: 0% - 10% Requirements Physical: Work is primarily sedentary; occasionally walks and/or stands. Manual Dexterity: Frequent use of computer keyboard and mouse. Audio/Visual: Ability to accurately interpret sounds and associated meanings at a volume consistent with interpersonal conversation. Regularly required to accurately perceive, distinguish and interpret information received visually and through audio; e.g., words, numbers and other data broadcasted aloud/viewed on a screen, as well as print and other media. Environmental: Office environment no substantial exposure to adverse environmental conditions. Guild offers a pleasant work environment, competitive compensation and excellent benefits package; including medical, dental, vision, life insurance, AD&D, LTD and 401(k) with employer match. Guild Mortgage Company is an Equal Opportunity Employer. See job description

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Company info

Guild Mortgage Company
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Company Profile
We have lived, experienced, and proved our commitment to our customers and employees for more than fifty years, through all kinds of markets, by creating partnerships for lasting success. We pair the resources of large companies with the accessibility and soul of a small company, to serve our customers’ needs. Our vision for Guild Mortgage Company is to build on our decades of success by seeking new opportunities for growth while keeping true to our history and values.

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