Compliance

• Responsible for performing various residential mortgage compliance activities, which includes interpreting compliance regulations;
• creating compliance policies and procedures/job aids for approval and implementation;
• maintenance of current compliance-related policies and procedures;
• performing compliance-related functions such as quality assurance testing and reviews, ad reviews, fulfilling examination and audit requests, etc.

Residential Real Estate Compliance Officer

• Provides contracting, compliance, and general legal support services to organization primarily with support to the CEO & Chief Compliance Officer (GC & CCO) and Paralegal/Contracts Administrator
• Assists with the review and execution of all UHP employment agreements, service agreements, and other agreements.
• Administers contracting process; maintains procedures for tracking contracts; drafts contracts and contract amendments as assigned; reviews agreements for unacceptable language, terms and conditions; negotiates terms as necessary with other party.
• Ensures agreements and terms are in compliance with federal, state, and other applicable laws and with internal UHP policies.
• Organizes, tracks, and maintains database on agreements.
• Assists with the administration and implementation of the corporate compliance program, including the training and education program.
• Assists with the development and maintenance of the policies and procedures surrounding the overall compliance program, with an emphasis on privacy compliance.
• Manages special projects and programs related to healthcare compliance.
• Supports the Compliance Officer and Privacy Officer with management of the compliance program, including communication and dissemination of documents.
• Performs research as assigned, including both library and internet-based research.
• Screens legal inquiries and provides routine advice and referral to reference sources when assistance of Counsel is not required to address issues.
• Prepares reports, correspondence, forms as needed.
• Reviews legal forms for accuracy.
• Complies with all legal requirements and company policies.
• Performs all other duties as assigned.

Contracts & Compliance Specialist

• Monitor all project activities to ensure compliance with ARC funding requirements, federal guidelines, and contractual obligations
• Maintain organized, audit-ready documentation including deliverables, financial records, and supporting materials
• Support preparation and submission of required progress reports, compliance documentation, and final project reports
• Prepare project records for audit reviews and support responses to compliance inquiries from funders or auditors
• Ensure project processes align with federal, state, and institutional compliance requirements; recommend improvements where needed
• Work with project team members to ensure compliance requirements are understood, implemented, and documented across all workstreams
• Identify compliance risks and support development of mitigation strategies to reduce exposure and ensure project integrity

Grant Compliance Specialist

• Provide daily front-line compliance advisory support to the Firm’s Investment Banking and Capital Markets businesses.
• Advise on firm policies and procedures and applicable securities laws and regulations for covered business lines (and provide back-up support for others).
• Develop policies and controls to align, supervise, and monitor Capital Markets and Investment Banking activity with regulatory requirements and industry best practices.
• Oversee implementation and daily execution of sales-practice components of the Firm’s compliance program across Equities and Fixed Income for private-side activities.
• Lead and/or participate as the private-side SME for projects to build processes and controls to comply with transactional rules and regulations, including remediations.
• Support the Compliance Marketing Officer with marketing reviews and advise on LinkedIn posts, investor presentations, deal materials, and client education content for supported business lines.
• Partner with business management and other departments to support existing processes and develop new processes that address business risk and regulatory requirements.
• Support the development, implementation, maintenance, and enhancement of programs that provide compliance risk management and supervisory oversight for private-side business lines.
• Develop supervisory tools related to business activity; assist with monitoring and tracking supervisory oversight; and update BL checklists, responsibilities, and reviews as needed.
• Partner with the Control Room to ensure transparency and visibility into Private Side activities.

See all jobs on JobTailor

Residential Real Estate Compliance Officer

Contracts & Compliance Specialist

Grant Compliance Specialist

Business Line Compliance Officer