Maxwell Capital LLC

Compliance

• Manage and monitor Compliance Underwriters, clients and loan reviews in the process to ensure projects are delivered within the applicable SLA.
• Provide post-deal and/or client-specific reporting for management to address QC results, problems and/or questions.
• Identify and document any discrepancies during audits to determine scalability and accuracy, document issues in the process, and escalate non-compliance to management.
• Enter dates and fees from disclosures into a system of record and run compliance engine analysis to test for issues.
• Ensure any exceptions are captured/recorded for incorrect or missing documentation, data errors and any errors on early disclosures.
• Research and respond to rebuttals and responses to findings.
• Apply exceptions and handle validations where necessary to ensure a complete and accurate review

Senior Manager, Compliance and Risk