Maxwell Capital LLC

Compliance

• Executes operational directives and strategy while supporting client delivery SLAs.
• Manages daily production and pipeline of a team QC compliance and compliance analysts while working with Ops Manager for forecasting staffing moves to outstanding projects to eliminate any down time.
• Responsible for the audits and training from the examination of loan reviews completed by Compliance team.
• Provide real time feedback pertaining to errors and determining corrective actions.
• Provide procedures and address issues that may hinder accuracy, timeliness and or deadlines.
• Ensure regulatory compliance for loans reviewed.
• Identify trends of errors and escalate to management/legal.
• Responsive to internal and external customers' needs in a timely, accurate and professional manner.
• Assists with loan review system testing and enhancement.
• Acts as a subject matter expert for DD Compliance analyst, assisting with problem solving, issue resolution and loan review guidance.
• Maintains a high level of confidentiality to protect privacy rights.
• Adheres to internal controls to reduce errors and customer complaints.
• Provides coaching, training, and development to staff to ensure company and department goals and key performance indicators (KPIs) are met.
• Assist in providing guidance on daily matters, such as, questions regarding Underwriting Guidelines or Compliance questions relating to TRID, Reg X, TILA or others.

Compliance Team Lead

Manager

• Maintain pipelines, run exceptions reporting, and oversee client rebuttals as needed
• Knowledge and ability to prepare securitization report sets, 15E/15G filings, and reliance letters
• Build a disciplined and effective process and approach to managing loan purchases and sales, scopes and internal processes
• Successfully work with departmental ops teams to meet or exceed stated SLAs for transactions
• Manage every aspect of communication with both internal and external partners to settle whole loan trade settlements and securitizations
• Create, maintain and deepen relationships with buyers, sellers and counterparties
• Review and respond to requests from investors to expedite settlements
• Coordinate with internal groups to bring on new sellers and buyers and coordinate with legal, pricing, and delivery
• Partner with sellers to understand their needs and create process documents for delivery to ensure strong hand-off including overview of scopes, timeline and deliverable expectation
• Leverage technology to create database and client reporting as well as scope for due diligence
• Manage and maintain Rating Agency relationships, vendor contracts, and other business unit contract needs
• Participates in the recruiting and interviewing of new staff. Manage a team of Transaction Coordinators. Oversees the daily workflow of the department. Provides constructive and timely performance evaluations.

Transaction Manager

• 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

Compliance Team Lead

Transaction Manager

Senior Manager, Compliance and Risk