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Compliance Specialist
Summary
Title:Compliance Specialist
ID:1654
Department:Compliance
Location:Greenville, SC
Description
Summary:
The Compliance Specialist is responsible for assisting the Compliance Management team with managing the development, enhancement and maintenance of policy & procedures for SMS. Compliance Specialist will support the overall company compliance by assisting the business units in reviewing, editing, and as necessary, interviewing and drafting policies and procedures. The Compliance Specialist will assist in Compliance Projects and audits as directed by Compliance Management.

Responsibilities:
  • Develop and maintain policy and procedures in accordance with federal, state, and investor requirements.
  • Providing support to the business units relative to the development or modification of specific policies and procedures; and provides updates to the policy and procedure content on the Company’s SharePoint site;
  • Performs gap analysis on procedures for Compliance Management.
  • Responsible for obtaining appropriate approvals as required from business managers and Compliance Management.
  • Reviews changes to business operations for potential impact to other operations/ procedures.
  • Follows established guidelines for organization Policy and Procedure framework.
  • Reviews regulatory changes or partners with regulatory change agents to proactively identify required updates.
  • Review audit results and assist management in change management process
  • Assists the Compliance team with responding to Compliance related audits or regulatory inquiries. Other duties as assigned by Management.
Qualifications/Skills:
  • Excellent oral and written communication skills and be able to accurately translate complex policies into concise and comprehensive procedures;
  • Responds promptly to requests for services and assistance and completes projects in a timely manner;
  • Have good judgment and be able to make decisions in a timely manner;
  • Be able to set time lines and meet deadlines;
  • The ability to maintain a high level of production with attention to detail and accuracy;
  • Working knowledge of Loan Servicing Systems and processes strongly desired;
  • The ability to work with all levels of employees and management;
  • Excellent proofreading and editing skills; and
  • Strong organizational skills and detail oriented.
  • Ability to work independently while contributing to and valuing an overall team structure 
Educational Requirements:
  • Associate degree degree in English, Business or a related field of study;
  • Minimum of one to two years’ professional experience in policy and/or technical writing or equivalent experience;
  • Experience in drafting procedures and process workflows in the financial services industry or equivalent experience.

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