Compliance

• Execute post-close loan reviews for Asset Management, producing clear, reproducible workpapers and findings.
• Conduct thematic reviews targeting risks within Asset Management functions.
• Draft findings with root-cause analysis, recommend corrective actions, and confirm remediation through evidence and re-testing.
• Lead vendor monitoring across Servicing and Asset Management, including screenings, insurance/continuity, and information-security reviews.
• Manage the fraud/KYC log for post-close events; define escalation triggers and ensure enhanced due diligence as required.
• Monitor agency guide changes impacting Servicing and Asset Management; track required actions, evidence, and implementation status.
• Support audits and exams, lead Asset Management-specific responses, and ensure corrective actions meet closure criteria.
• Define critical Asset Management data elements and exception thresholds; partner with Technology/Analytics to run exception reports and reconciliations; escalate systemic issues.
• Deliver dashboards and reports on key metrics (trends, repeat defects, remediation timeliness, vendor performance, fraud/KYC activity, guide updates).

AVP, Asset Management Compliance

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