Benefits: 401(k) matchingDental insuranceHealth insurancePaid time offTraining & developmentVision insurance TITLE: Compliance Manager REPORTS TO: COO / EVP
LOCATION:Bothell, WA
STATUS: Full time, non-exempt
The Compliance Manager is responsible for working closely with the Quality Assurance team to drive a positive, productive culture and ensures QA Auditors meet or exceed their KPIs while staying within industry compliance standards. Also responsible for continuously developing direct reports to their fullest potential, ensuring they have the tools and knowledge necessary to successfully execute their work to their highest capability.
JOB RESPONSIBILITIES CULTURE Promotes and nurtures a professional, positive, and productive company culture.Is highly focused on developing the skillset of direct reports through consistent, proactive observation and coaching.Regularly promotes company core values, consistently uses company vernacular and reinforces/encourages co-workers and direct reports to do the same.DEPARTMENT SPECIFIC Formulates, implements, and reviews results of department strategies and updates as needed.Participates in interviewing and hiring as needed based on company core values, company policies, and KPI standards.Documents, reviews, and updates department SOPs bi-annually.IT Security Compliance
Assists with SOC 2 annual Audit & Certification as needed.Ensures Incident Response Tracking occurs as needed.Ensures completion of initial and annual employee Cyber Security trainingConducts o annual Risk Assessment and Penetration Testing.
o quarterly User Access reviews.
Collection Compliance
Ensures collection letters are reviewed by legal annually.Implements collection letter changes and reviews for accuracy.Responsible for Collector regulatory compliance and ensures disciplinary action and coaching takes place as needed.Verifies that call and file monitoring is completed weekly.Reports weekly call and file monitoring results to management.Ensures completion of initial and annual employee Compliance training
Complaint Management
Ensures all complaints are investigated and responds in a timely manner.Accurately tracks all complaints in the Complaint Tracker.Works with applicable Department Manager to ensure that all follow up actions, including disciplinary, are completed.
LicensingCompletes and submits the following prior to the due date in all applicable states:o all required license renewals.
o any necessary changes of information for bond renewal.
o annual reports (and DFPI annual reports).
o biennial reports.
Updates and submits quarterly notification of agents/collectors in all applicable states.Ensures all NMLS requirements are fulfilled each year including but not limited to finger printing, state registered manager testing, and scheduling appointments.Obtains and submits yearly Financial Statements to NMLS.Works with accounting department to ensure state tax filings are completed on time. Takes lead on annual state of Nevada examination.Ensures resolution of all licensing related issues. Self-Improvement
Researches industry compliance training and education opportunities.Discusses opportunities with COO and collaboratively decides which to attend. Participates in six training opportunities per year.Provides a post-event report highlighting what was learned and a plan for implementation of new ideas and/or processes as needed. STAFF MANAGEMENT Monitors direct report's performance and attendance. Anticipates potential issues and takes proper action to rectify ASAP. Continuously assesses direct report's potential and provides effective encouragement through Strength Spotting. Develops, implements, and monitors training, improvement plans, benchmarks and disciplinary actions as needed. Provides directive leadership as needed.Consistently provides non-directive coaching by asking probing, open-ended questions to uncover potential issues and encourage problem solving skills.Monitors and encourages direct reports to follow processes and procedures that ensure development, compliance, and standardization.Actively monitors and communicates with direct reports through continuous virtual interaction.Interviews, hires, and terminates direct reports based on company core values, company policies, and KPI standards. Conducts quarterly 5-5-5 discussions with QA Team.Conducts annual performance reviews with direct reports. KPIs Tracks, analyzes, and reports on personal and department KPIs and ensures they're met.Fully understands all aspects of department KPI reports, which changes can/can't be made, and the impact of making changes. MEETINGS Facilitates (as needed), prepares, and actively participates in the following meetings:
QA Team Huddles (Daily)Direct Report 1:1 Meetings (Monthly)Manager 1:1 Meetings (Weekly) GENERAL Fully understands all company policies/procedures.Asks constructive questions and proactively seeks to improve processes to avoid potential pitfalls.Reviews the following company policies annually and recommends changes, as needed:o Clean Desk Policy
o Cell Phone Policy
o Call & File Handling Policy
o Incident Management Policy
o Risk Management Policy
o Information Security Policy
o Complaint Management policy
SOFTWARE Consistently makes use of Microsoft Teams to connect with staff verbally and/or virtually.Utilizes CUBS as the single source of truth. Compensation: $70,000.00 - $82,000.00 per year
