Regulatory Associate

Job Description

We are seeking a Regulatory Associate to support underwriter compliance and audit readiness. This role will be responsible for preparing questionnaires and documentation required for underwriter audits, as well as assisting with state-mandated underwriter compliance requirements.

We are seeking a Regulatory Associate to support underwriter compliance and audit readiness. This role will be responsible for preparing questionnaires and documentation required for underwriter audits, as well as assisting with state-mandated underwriter compliance requirements.

• Prepare questionnaires and supporting documentation for underwriter audits.
• Assist with state-mandated regulatory and underwriter compliance requirements.
• Coordinate responses to audit and examination requests.
• Maintain organized compliance records, licenses, and supporting documentation.
• Track regulatory filing deadlines and ensure timely submissions.
• Assist with annual escrow audits and state regulatory examinations.
• Review company policies and procedures for compliance with applicable regulations.
• Monitor changes to state laws, regulations, and underwriter requirements.
• Communicate with underwriters, auditors, and regulatory agencies as needed.
• Gather transaction files, escrow records, reconciliations, and other requested materials.
• Identify missing or incomplete compliance documentation and coordinate corrections.
• Support license applications, renewals, and company registrations.
• Maintain audit trackers and provide regular status updates to management.
• Assist with drafting and updating internal compliance policies and procedures.
• Help investigate and respond to compliance-related questions or concerns.
• Ensure confidential company and client information is handled appropriately.
• Collaborate with operations, accounting, escrow, and legal teams on compliance matters.
• Perform additional regulatory and administrative duties as assigned.

• Experience in title insurance, escrow, regulatory compliance, or audit preparation preferred
• Highly organized, detail-oriented, and able to manage multiple priorities and deadlines
• Strong written and verbal communication skills
• Proficiency in Microsoft Office and Adobe Acrobat
• Ability to handle confidential information
• Demonstrates professionalism, accountability, sound judgment, and ability to work independently and collaboratively

WORKING CONDITIONS: Normal working conditions with the absence of disagreeable elements

The statements herein are intended to describe the general nature and level of work being performed by employees and are not to be construed as an exhaustive list of responsibilities, duties, and skills required of personnel so classified.

Newmark is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex including sexual orientation and gender identity, national origin, disability, protected Veteran Status, or any other characteristic protected by applicable federal, state, or local law.