Sample Job Description for Chief Compliance Officer

Following is a sample job description template for the position of Chief Compliance Officer.

Job Title: Chief Compliance Officer

Location of the job: Santa Clara, CA 95054

Years of Experience: 2+ to 5 Years

Job Type: Full Time Employee

Education Level: Bachelor’s Degree

Job Summary:

Our client is a well-respected asset management company with a stellar long-term investment track record and conservative investment approach.​

Duties and Responsibilities:

  • Perform other duties as assigned or required.​
  • Respond to and monitor complaints
  • Refer escalated and/​or complex issues, as necessary, to Legal Department.​
  • Random call auditing to ensure compliance with FDCPA, Fair Housing Act and any other Company policies and procedures
  • Keep current on all regulatory and compliance law changes and maintain state and federal compliance documentation.​
  • Look for any trends generated from tracking systems and report them to management.​
  • Prepare and implement a Compliance Plan and perform compliance testing
  • Prepare compliance reports
  • Oversee regulatory audits and exams

Position Requirements:

  • Ability to supervise staff when needed
  • Excellent verbal and written skills, including ability to write clearly, concisely, and logically
  • Ability to set goals and meet deadlines
  • Ability to work well with all levels of management and staff
  • Very strong organizational skills
  • Research skills and technical understanding of loan servicing
  • Knowledge of Mortgage Insurance
  • Strong knowledge of Federal and state laws applicable to mortgage servicing, including licensing
  • Compliance test experience
  • Knowledge of Freddie Mac, Fannie Mae and FHA loans
  • Work Hours: 40h/Week

Salary: Salary plus bonus opportunity