Compliance Manager

The Compliance Manager oversees the core functions of Key Mortgage’s compliance program, helping to ensure policies, procedures, and daily operations align with applicable laws and regulations. This role helps to monitor regulatory changes, manages licensing and examination readiness, oversees complaint handling, and coordinates audit and risk-related activities.

The Compliance Manager is staff's primary resource for day-to-day regulatory questions and works closely with the SVP of Fulfillment Operations and Risk to support broader oversight of the risk program.

Core Responsibilities

Licensing & Exam Readiness

Manage company and individual licensing requirements and renewals.

Prepare the organization and relevant staff for state and federal regulatory examinations.

Coordinate examination responses and track any resulting action items.

Complaint Management

Own the complaint management process from intake through resolution.

Triage and respond to inquiries submitted to the compliance mailbox in a timely manner.

Identify trends in complaint data and escalate systemic issues as needed.

SAR Review & Audit Support

Review flagged activity and process Suspicious Activity Reports in line with policy and required timelines.

Maintain documentation supporting SAR decisions and filings.

Escalate unclear or higher-risk cases as needed.

Fulfill documentation requests for internal and external audits.

Track audit findings and corrective action items through to closure.

Cross-Functional Partnership

Partner with the SVP of Fulfillment Operations & Risk and the QC/QA vendor manager to ensure findings from those areas are reflected in licensing, complaint, and audit work as needed.

Requirements

• Required
• Bachelor's degree in Business, Finance, Law, or a related field, or equivalent experience.
• 5+ years of mortgage compliance experience.